Search for: "Citigroup Global Markets,Inc."
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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]
7 Jun 2024, 6:44 am
American Research & Management Company Leonardo Hernandez III Citigroup Global Markets Inc. [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]
13 Feb 2017, 6:20 am
From June 1994 through February 2007, Palmer was registered with Citigroup Global Markets Inc. [read post]
3 Jan 2016, 4:32 am
From November 2006 through June 2009, Giusti was associated with Citigroup Global Markets Inc. [read post]
22 Dec 2010, 9:40 am
Global-Tech Appliances v. [read post]
6 Jul 2014, 8:59 am
For Sponsorship & Registration Details, Contact Jenny Keane, Marketing ManagerJennyk@marcusevansch.com or +1 312-540-3000 x6515 InhouseBlog is a media sponsor of the event. [read post]
6 Jul 2014, 8:59 am
For Sponsorship & Registration Details, Contact Jenny Keane, Marketing ManagerJennyk@marcusevansch.com or +1 312-540-3000 x6515 The post Chief Litigation Officer Summit (9/14/-9/16, Palm Beach, FL)(Adv.) appeared on InhouseBlog.com. [read post]
16 Nov 2006, 11:53 am
Customers include Citigroup, Credit Suisse, Babcock & Brown, First Data Corporation and other business practice leaders. [read post]
7 Jul 2021, 1:51 pm
According to FINRA Disciplinary actions for June 2021, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Gina Adly MML Investors Services, LLC NYLife Securities LLC Patrick Carberry AXA Advisors, LLC NYLife Securities LLC Roy Cederfranco Morgan Stanley Citigroup Global Markets… [read post]
31 Jul 2023, 12:40 pm
(CRD#:7059), NEW YORK, NY B, 11/07/2016 – 09/28/2021, CITIGROUP GLOBAL MARKETS INC. [read post]
