Search for: "Citigroup Global Markets"
Results 21 - 40
of 737
Sort by Relevance
|
Sort by Date
7 Jul 2023, 12:53 pm
” Previously, Caldwell was registered as a General Securities Representative with Citigroup Global Markets Inc. from July 3, 2012, to November 12, 2021, when she voluntarily resigned from the firm. [read post]
15 May 2023, 7:32 pm
Sponsored by Citigroup Global Markets, this is a structured note that came with an “auto-call” feature. [read post]
24 Apr 2023, 3:33 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7008/securities-industry-commentator/ FINRA Arbitrator Dismisses 21 Year Old Claim Against Citigroup Global Markets (BrokeAndBroker.com Blog) The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital (BrokeAndBroker.com Blog) FINRA Arbitrators Checkmate SunTrust With Punitive Damages for Misuse of Rep's… [read post]
24 Apr 2023, 3:33 am
Was it Citigroup Global Markets' fault? [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]
29 Mar 2023, 11:15 am
A sudden storm—inflation, interest rate shocks, market gyrations—reveals a betting hall and pile of bad apples. [read post]
22 Mar 2023, 12:52 pm
So the regulator’s have tried to calm the markets. [read post]
10 Jan 2023, 7:39 am
Barclays Capital, Citigroup Global Markets, Credit Suisse, Goldman Sachs, Morgan Stanley, UBS, and Deutsche Bank Securities, DWS Distributors and DWS Investment Management Americas each agreed to pay penalties of $200 million each for communications failures. [read post]
19 Dec 2022, 3:25 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6816/securities-industry-commentator/TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out (BrokeAndBroker.com Blog)FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies… [read post]
19 Dec 2022, 3:25 am
FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of Auto Loans, Mortgages, and Deposit Accounts / Company repeatedly misapplied loan payments, wrongfully foreclosed on homes and illegally repossessed vehicles, incorrectly assessed fees and interest,… [read post]
19 Dec 2022, 3:25 am
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out (BrokeAndBroker.com Blog)FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of… [read post]
19 Dec 2022, 3:25 am
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out (BrokeAndBroker.com Blog)FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of… [read post]
19 Dec 2022, 3:25 am
FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of Auto Loans, Mortgages, and Deposit Accounts / Company repeatedly misapplied loan payments,… [read post]
28 Nov 2022, 9:02 am
Citigroup Global Markets Inc. [read post]
21 Nov 2022, 9:02 am
Citigroup Global Markets Inc. [read post]
28 Sep 2022, 12:37 pm
Citigroup Global Markets Inc. [read post]
28 Sep 2022, 8:06 am
;Citigroup Global Markets Inc. [read post]
26 Sep 2022, 1:56 pm
His former employers are Citigroup Global Markets Inc. [read post]
24 Jun 2022, 9:58 am
How the Global Microchip Shortage Is Affecting the Payments IndustryTearsheet – June 20, 2022 With the Covid-19 pandemic, the global semiconductor supply chain took a significant hit. [read post]
24 Jun 2022, 7:23 am
How the Global Microchip Shortage Is Affecting the Payments IndustryTearsheet – June 20, 2022 With the Covid-19 pandemic, the global semiconductor supply chain took a significant hit. [read post]
