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28 Feb 2024, 6:37 pm
” These letters are called activity letters and most brokerage firms send them, including Morgan Stanley, Bank of America, Wells Fargo, Merrill Lynch, Citigroup (Smith Barney), and Ameriprise. [read post]
31 Jan 2024, 8:31 am
29 Jan 2024, 12:00 pm
Morgan Stanley operates under the following names: CITIGROUP INSTITUTIONAL CONSULTING, SMITH BARNEY, PRIVATE PORTFOLIO GROUP, MORGAN STANLEY WEALTH MANAGEMENT, MORGAN STANLEY SMITH BARNEY LLC, GRAYSTONE CONSULTING, CONSULTING GROUP, among others according to its CRD. [read post]
26 Jan 2024, 8:27 am
According to his FINRA BrokerCheck profile, Rodriguez was affiliated with the following firm during his career: 06/01/2009 – 09/03/2021, MORGAN STANLEY (CRD#:149777), EL PASO, TX, B, 08/05/2008 – 06/01/2009, CITIGROUP GLOBAL MARKETS INC. [read post]
26 Jan 2024, 6:00 am
Bank of America, Citigroup, PNC and Capital One Financial, all among the nation’s 10 largest banks, still haven’t signed on to FedNow, according to the Fed’s latest list of participants. [read post]
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]
17 Nov 2023, 1:46 pm
The post Finance Layoffs Watch ’23-24: Citigroup appeared first on Above the Law. [read post]
10 Nov 2023, 7:01 am
(CRD#:6363) of Los Angeles, CA, Citigroup Global Markets Inc. [read post]
9 Nov 2023, 6:29 am
(CRD# 8174) of Paramus, NJ, Morgan Stanley Smith Barney (CRD# 149777) and Citigroup Global Markets Inc. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
8 Nov 2023, 5:43 pm
But, as we have seen play out in New York, there is little more annoying than to have a phalanx of lawyers, judges and experts sitting in a courtroom to chop through substantive issues relating to matters of immense legal gravity and find that the inquiry has been halted because a witness is not certain whether the exhibit in his hand is the same that was provided to Deutsche Bank, Citigroup or Nevis’ Parish of St. [read post]
8 Nov 2023, 8:29 am
The post Citigroup fined $25.9M for discriminating against Armenian Americans, regulator says appeared first on Maryland Daily Record. [read post]
7 Nov 2023, 7:04 am
The post Finance Layoffs Watch ’24: Citigroup appeared first on Above the Law. [read post]
1 Sep 2023, 6:44 am
Clarice Saw (Clarice Crystal Saw CRD 2633118, aka “Chin Saw,” “Clarice Chin Saw”) was previously employed by Cetera Investment Advisers LLC (CRD# 105644 and 1540) of Flushing, NY, Citigroup Global Markets Inc. [read post]
1 Sep 2023, 6:07 am
He was previously employed by Morgan Stanley (CRD# 149777), Citigroup Global Markets Inc. [read post]
31 Aug 2023, 8:09 am
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
29 Aug 2023, 1:10 pm
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
21 Aug 2023, 9:42 am
These resolutions include settlements with the following banks, mortgage originators, and rating agencies: Ally Financial; Aurora Loan Services; Bank of America; Barclays; Citigroup; Credit Suisse; Deutsche Bank; General Electric; Goldman Sachs; HSBC; JPMorgan; Moody’s; Morgan Stanley; Nomura; Royal Bank of Scotland; S&P; Société Générale; Wells Fargo. [read post]
20 Aug 2023, 9:01 pm
On August 10, 2023, the Second Circuit handed down its highly anticipated decision in Arkansas Teacher Retirement System v. [read post]
16 Aug 2023, 8:21 am
Citigroup Inc., No. 22-1000-bk (Bankr. [read post]
