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9 Jun 2014, 6:06 am
District Court for the Southern District of New York in which the district court declined to approve a settlement of claims that the SEC brought against Citigroup Global Markets Inc. [read post]
16 Nov 2009, 8:11 pm
Citigroup, Inc., 47 Cal.4th 610 (Cal. 2009) [Slip Opn., at 1-2]. [read post]
23 Feb 2012, 10:53 am
., Wells Fargo & Company, Citigroup Inc. and Ally Financial Inc. was reached by the federal government and 49 state attorneys general to address mortgage loan servicing and foreclosure abuses. [read post]
13 Apr 2009, 8:01 am
In one recent case, Texas Instruments, Inc. sued Citigroup Inc., Morgan Stanley and Bank of New York Mellon Corp. for misrepresenting and omitting to disclose the true risks and characteristics of the $524 million of auction-rate securities it purchased. [read post]
1 Sep 2023, 6:07 am
He was previously employed by Morgan Stanley (CRD# 149777), Citigroup Global Markets Inc. [read post]
5 Mar 2009, 12:06 pm
., Credit Suisse Securities (USA) LLC, Barclays Capital Inc., Bear Stearns & Co., Countrywide Securities Corp., Deutsche Bank Securities Inc., JPMorgan Chase Inc., Bank of America Corp., Citigroup Global Markets Inc., McGraw-Hill Cos., Moody's Investor Services Inc., and Fitch Ratings Inc., over allegations that they made false statements in the prospectus and registration statement for certificates that were collateralized… [read post]
30 Aug 2009, 10:55 am
In my recent paper, currently in the submission process, Treasury Inc.: How the Bailout Reshapes Corporate Theory and Practice, I explore the implications of the U.S. [read post]
7 Jun 2007, 11:43 am
, lmelton@dhayeslaw.com THE HAYES LAW FIRM, www.dhayeslaw.com On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million to settle charges relating to the use of misleading materials in retirement seminars and meetings for BellSouth employees in North and South Carolina. [read post]
4 Mar 2011, 12:32 pm
Per the court, DBS was the broker and investment adviser for Akamai Securities Corp. and Akamai Technologies Inc. [read post]
7 Feb 2009, 8:56 am
Among the allegations made by American Eagle are that Citigroup misrepresented the auction-rate securities as safe and liquid and that Citigroup omitted to disclose various material facts such as the lack of demand for the auction products and the necessity of support by Citigroup. [read post]
3 Jul 2018, 6:00 am
In January 2017, the CFTC settled charges against Citigroup, finding that Citigroup traders spoofed and Citigroup failed to supervise them. [read post]
27 Apr 2007, 3:21 am
Citigroup Global Mkts., Inc., No. 05-4362, 2007 U.S. [read post]
13 Mar 2015, 12:04 pm
Inc. v. [read post]
16 Dec 2011, 3:19 pm
Citigroup Global Markets, Inc., SD NY, 11 Civ. 7387, Nov. 28, 2011.In the enforcement action, the SEC alleged that the principal U.S. broker-dealer subsidiary of the financial institution mislead investors about a $1 billion collateralized debt obligation (CDO) tied to the U.S. housing market in which the entity bet against investors as the housing market showed signs of distress. [read post]
17 Sep 2013, 10:08 am
Inc., Moorings Development, Inc. and Pirates Cove Marina, LLC. [read post]
17 Nov 2010, 4:01 pm
(NYSE: JPM) and Citigroup Inc. [read post]
14 Jun 2012, 5:51 pm
Ketchum made his comments less than a month after FINRA fined Citigroup Inc. [read post]
16 Aug 2011, 10:05 pm
Citigroup Inc.'s (C.N) Citibank is the plaintiff of the securities lawsuit over the Capmark VI CDO and STACK 2006-1 CDO deals, while there are 15 plaintiffs seeking punitive damages over Cheyne Finance, a structured investment vehicle. [read post]
Marriage Conflicts (Allegations) — Judge Refuses Recusal, Third Circuit Says Ethical Screen Suffices
12 May 2022, 8:10 am
“Judge Won’t Recuse From Citi Cases Over Husband’s Law Firm Ties” — “A federal judge in New York said Thursday that she won’t recuse herself from two cases involving Citigroup Inc. over her husband’s job at a law firm that frequently services the banking giant. [read post]
27 Nov 2013, 7:58 am
., Citigroup Inc., and Well Fargo & Co. each hold more than half of the total banking assets in the country. [read post]
