Search for: "Citigroup Derivatives Markets, Inc."
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17 Jan 2010, 8:45 am
In Re The Dow Chemical Company Derivative Litigation, Cons. [read post]
12 May 2010, 12:35 pm
Citigroup Inc. underwrote and marketed the Jackson deal to investors, while UBS AG did the same for the Buchanan deal, according to the article. [read post]
19 Dec 2011, 8:33 am
Citigroup Global Markets, Inc., SD NY, 11 Civ. 7387, Nov. 28, 2011.The SEC's long-standing policy of allowing defendants to enter into consent judgments without admitting or denying the underlying allegations deprived the court of even the most minimal assurance that the substantial injunctive relief it is being asked to impose has any basis in fact.The SEC took the position that, because the financial institution did not expressly deny the allegations, the court, and… [read post]
14 Feb 2012, 12:39 pm
Settlement Issues Last month, we included a lengthy discussion of the events in SEC's case against Citigroup Global Markets, Inc., which was seemingly settled in October 2011, only to have Judge Jed Rakoff reject the settlement. [read post]
19 Nov 2009, 12:13 pm
Mattel, Inc. 128 S.Ct. 1396 (2008) and the Fifth Circuit ruling in Citigroup Global Markets, Inc. v. [read post]
9 Jun 2009, 8:15 am
An article in The Wall Street Journal comments on the FDIC's "increasingly tough position" toward the management of Citigroup Inc. leading to "a bitter clash between regulators" about the speed and adequacy of efforts to improve the firm's capital position. [read post]
27 Feb 2009, 8:43 am
Despite increasing political and media focus on and criticism of risk assessment and risk management efforts by corporate boards, yesterday's In Re Citigroup Inc. [read post]
23 Jun 2009, 12:00 pm
MDL No. 2043, In re Citigroup, Inc., Auction Rate Securities (ARS) Marketing Litig. [read post]
19 Oct 2019, 9:37 am
See Citigroup Inc. v. [read post]
7 Nov 2008, 2:42 pm
Structured notes, sometimes marketed as ``structured equities'' or ``hybrid financial instruments,'' are constructed by banks and Wall Street firms from a combination of bonds, stocks, commodities, currencies and derivatives. [read post]
15 Jan 2014, 2:22 pm
., Inc. and Century Securities Associates Inc. [read post]
31 Mar 2023, 6:18 am
As of February 2019, the defendants were participants in five VPFCs with Citibank under which nearly 29.5 million Knight-Swift shares were pledged.In August 2019, the defendants asked Citigroup Global Markets Inc. [read post]
17 Jun 2016, 6:05 am
Securities and Exchange Commission, on Wednesday, June 15, 2016 Tags: Asset management, Audit trail, Capital formation, Compliance and disclosure interpretation, Cybersecurity,Derivatives, Dodd-Frank Act, Equity capital, Executive Compensation, FAST Act, JOBS Act, Oversight, SEC, SEC enforcement, Securities enforcement, Securities regulation, Swaps, Transparency, Whistleblowers Is the Stock Market Just a Side Show? [read post]
15 Jan 2014, 12:11 am
The banks that have been identified or made announcements regarding Forex regulatory investigations to date include: Barclays, Citigroup, Inc., Credit Suisse AG, Deutsche Bank, Goldman Sachs Group, HSBC, JP Morgan Chase & Co., Morgan Stanley, Royal Bank of Scotland, Standard Chartered and UBS. [read post]
25 Sep 2009, 1:58 pm
” Id.Following Hall Street, the Fifth Circuit, in Citigroup Global Markets, Inc. v. [read post]
7 May 2013, 6:34 am
According to media, an Ohio pension fund, the Sheet Metal Workers Local 33 Cleveland District Pension Plan, is seeking damages against Goldman Sachs, Citigroup Inc. and ten other banks that, according to the pension fund, have restrained competition for credit default swaps (CDS) in violation of federal antitrust law. [read post]
16 Dec 2008, 2:00 pm
In the case known as In Re Citigroup, Inc. [read post]
24 Jan 2014, 12:57 am
In many jurisdictions, corporate officials sued for their actions undertaken in their corporate capacity may be able to defend themselves in reliance on the “business judgment rule. [read post]
12 Aug 2010, 8:30 pm
Chancellor Chandler entertained such a claim last year in In re Citigroup Inc. [read post]
15 Mar 2012, 9:53 am
Citigroup Appeal As we have discussed previously, Judge Rakoff's decision last November to reject the SEC's "neither-admit-nor-deny" settlement with Citigroup could result in a significant shift in the way the SEC, defendants and the Courts look at settlements going forward. [read post]
