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13 Jan 2012, 8:54 am
These cases and other matters from the last month are discussed in greater detail after the jump.The SEC's Appeal in the Citigroup Global Markets Appeal It is remarkable to think that it has been less than three months since the SEC announced its $285 million settlement with Citigroup Global Markets, Inc. under the usual neither-admit-nor-deny standard. [read post]
13 Jan 2012, 8:54 am
These cases and other matters from the last month are discussed in greater detail after the jump.The SEC's Appeal in the Citigroup Global Markets Appeal It is remarkable to think that it has been less than three months since the SEC announced its $285 million settlement with Citigroup Global Markets, Inc. under the usual neither-admit-nor-deny standard. [read post]
3 Jan 2012, 10:32 am
Citigroup Global Markets, Inc. was discussed in some detail in our Top 10 piece last Friday. [read post]
18 Jan 2010, 1:02 pm
Two months ago we reported that Citigroup Global Markets, Inc. had asked a New York court to dismiss a $72 million lawsuit filed against it by KV Pharmaceutical Co. [read post]
28 Oct 2009, 2:54 am
See Citigroup Global Markets, 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]
18 Aug 2010, 10:39 am
Citigroup Global Markets, Inc., et al, FINRA Dispute Resolution Arbitration Number 09-02697. [read post]
15 Nov 2011, 8:14 am
These issues, and others, are discussed in greater detail after the jump.The Citigroup Litigation As discussed here, on Wednesday, October 19, 2011, the SEC announced a settlement with Citigroup's principal U.S. broker-dealer, Citigroup Global Markets, Inc., who had been charged with misleading investors about a $1 billion collateralized debt obligation ("CDO") tied to the housing market. [read post]
1 Nov 2019, 6:42 am
Citigroup Global Markets, UBS Securities, and Top Capital Partners Limited were joint bookrunners for the offering. [read post]
15 Sep 2011, 12:10 pm
., the Morgan Stanley part of the June 2009 joint venture with Morgan Stanley andamp; Co. and the Smith Barney division of Citigroup Global Markets, Inc., is no stranger to e-mail problems. [read post]
13 Feb 2013, 2:50 pm
Oral argument was held before a Second Circuit panel reviewing a district court’s decision refusing to approve a proposed consent judgment between the SEC and Citigroup Global Markets, Inc. because it did not have adequate information to determine whether the proposed consent judgment was fair, reasonable, adequate, and in the public interest. [read post]
1 May 2024, 4:24 am
The Paris Agreement and Its Impact The Paris Agreement aims to limit global temperature increases and transition towards net-zero emissions by 2050. [read post]
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]
9 Nov 2011, 8:21 am
Citigroup Global Markets, Inc, SD NY, 11-CIV 7387, Rakoff, J).Noting that the US Supreme Court has expressly endorsed the entry of consent decrees notwithstanding a defendant’s explicit denial of material allegations of the complaint, the SEC said that there is nothing unusual or untoward about a consent decree entered into without an admission of wrongdoing by the defendant, and that criticism of consent decrees for not including such an admission is unjustified. [read post]
19 Jan 2016, 3:21 pm
Salman was convicted of 2013 of making investments based on confidential information he received from a family member who worked in the health care investment banking group at Citigroup Global Markets in NY. [read post]
9 Jun 2009, 8:15 am
The existence of complex interactions among participants and products in the global financial markets has become more apparent. [read post]
1 Nov 2017, 11:28 am
Morgan Stanley, through its predecessor firm Citigroup Global Markets, Inc. [read post]
1 Dec 2011, 12:15 pm
" In addition to arguing this point in the Citigroup Global Markets case, the Commission is seeking to address that issue in Congress. [read post]
28 Mar 2010, 8:07 am
Among other things, the Global Settlement, which binds 12 securities firms, including Goldman Sachs, JP Morgan, Merrill Lynch, Citigroup, Credit Suisse, Morgan Stanley and Deutsche Bank, puts in place limits on the interaction between the research and investment banking arms of the firms – a so-called “firewall”. [read post]
19 Aug 2009, 9:16 am
Not doing so, may have resulted in a global market meltdown. [read post]
