Search for: "CITIGROUP GLOBAL MARKETS INC"
Results 341 - 360
of 429
Sorted by Relevance
|
Sort by Date
25 Jan 2024, 8:35 am
According to his FINRA BrokerCheck profile, McKelvey was affiliated with the following firm during his career: 06/01/2009 – 05/05/2022, MORGAN STANLEY (CRD#:149777), Southlake, TX, B, 11/07/2008 – 06/01/2009, CITIGROUP GLOBAL MARKETS INC. [read post]
9 Dec 2016, 7:25 am
From September 2005 through February 2011 Kievman was associated with Citigroup Global Markets Inc. [read post]
12 Sep 2018, 10:06 am
From August 2002 to June 2009, Musso was registered with Citigroup Global Markets Inc. [read post]
3 Dec 2012, 7:08 am
Citigroup Global Markets Inc.). [read post]
7 Dec 2018, 6:08 am
Bruce Plyer has 6 disclosures on FINRA BrokerCheck Report, and has worked for 29 years in the securities industry at 4 different firms, including the following: • International Assets Advisory, LLC in Morristown, NJ — December 22, 2016 to February 28, 2017 • Morgan Stanley, Florham Park, NJ — June 1, 2009 to December 23, 2016 • Citigroup Global Markets Inc. [read post]
24 Jul 2018, 10:59 am
From February 2006 to June 2009, Gibbons was registered with Citigroup Global Markets, Inc. [read post]
31 Mar 2012, 8:17 pm
Patricia Collantes was fined $8,000 and suspended from association with any FINRA member in any principal capacity in relation to findings that while acting as Operating Manager at Citigroup Global Markets Inc. in Palo Alto, California, Ms. [read post]
28 Sep 2022, 12:37 pm
Citigroup Global Markets Inc. [read post]
6 Dec 2006, 9:30 am
., Engage Technologies, Inc., Firepond, Inc., IXL Enterprises, Inc., Sycamore Networks, Inc., and VA Linux Corp. [read post]
3 Feb 2012, 11:43 am
Global Markets, Inc. case, focusing on the fact that a number of the companies appear to be repeat offenders and asking in his October 27, 2011 Order: The proposed judgment imposes injunctive relief against future violations. [read post]
12 May 2015, 3:30 pm
The following is a list of some of the UBS Reverse Convertible Notes offered: CUSIP Issuer Product Name 90271N227 UBS Trigger Phoenix Autocallable Optimization Securities linked to Rackspace Hosting, Inc. 90271N219 UBS Trigger Phoenix Autocallable Optimization Securities linked to Cemex SAB (ADR) 90271N193 UBS Trigger Phoenix Autocallable Optimization Securities linked to Apple, Inc. 90271C825 UBS Trigger Phoenix Autocallable Optimization Securities linked to Broadcom Corp.… [read post]
13 Feb 2012, 3:40 pm
Also according to Bloomberg, the affidavit in support of the section 11 production orders obtained in this case (see below) indicate that the Bureau was informed that HSBC Holdings Plc, JPMorgan Chase & Co., Citigroup Inc. [read post]
21 May 2021, 10:23 am
Citigroup Global Markets Inc., which paid more than $12 million to settle charges that its affiliated dark-pool operator misled subscribers with assurances that high-frequency traders were not permitted to trade in the dark pool. [read post]
16 Apr 2010, 8:52 am
Previously, she was general counsel for the global consumer group at Citigroup Inc., Those were fun times at Citi. [read post]
13 Feb 2017, 6:20 am
From June 1994 through February 2007, Palmer was registered with Citigroup Global Markets Inc. [read post]
22 Dec 2010, 9:40 am
Global-Tech Appliances v. [read post]
7 Mar 2022, 7:24 am
His previous employer employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Miamisburg, OH, Morgan Stanley Smith Barney (CRD#:149777) and Citigroup Global Markets Inc. [read post]
2 Dec 2021, 7:03 am
His FINRA BrokerCheck profile indicates he was registered with the following firms during his career in the securities industry: 06/01/2009 – 09/03/2021, MORGAN STANLEY (CRD#:149777), EL PASO, TX 08/05/2008 – 06/01/2009, CITIGROUP GLOBAL MARKETS INC. [read post]
16 Jun 2012, 9:28 pm
The Ex-Morgan Stanley Smith Barney broker (and before that he worked for predecessor company Citigroup Global Markets Inc. [read post]
7 Apr 2021, 6:38 am
From 2001 through 2006, Porter was registered with Citigroup Global Markets, Inc. [read post]
