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1 May 2014, 6:40 am
Claimant(s) Respondent(s) Award of Panel 13-00144 RBC Capital Markets LLC Thomas Alexander Hand (1) Respondent to pay Claimant compensatory damages of $237,326.00; (2) Claimant to pay Respondent compensatory damages of $40,000.00. [read post]
11 Aug 2009, 4:58 am
As 5th Circuit Court of Appeals explained in Citigroup Global Markets, Inc. v. [read post]
16 May 2008, 7:33 pm
In re Citigroup Global Markets, Inc., No. 06-0886 (Tex. [read post]
9 Nov 2011, 11:52 am
Judge Rakoff's busy week continues on the afternoon of Wednesday, November 9, 2011, when he will hear oral argument on whether the settlement between the SEC and Citigroup Global Markets, Inc., is fair, adequate, and reasonable (as discussed here and here). [read post]
15 Jun 2012, 11:30 am
In a Motion to Suppress and a Motion to Dismiss, the defendants raised issues regarding DOJ's relationship with Control Components, Inc. [read post]
21 Jan 2022, 2:17 pm
In this matter, initiated by a whistleblower under New Mexico’s Fraud Against Taxpayer’s Act, New Mexico secured a settlement with Barclays Capital Inc., Citigroup Global Markets Inc., Goldman Sachs & Co. [read post]
21 Jan 2022, 2:17 pm
In this matter, initiated by a whistleblower under New Mexico’s Fraud Against Taxpayer’s Act, New Mexico secured a settlement with Barclays Capital Inc., Citigroup Global Markets Inc., Goldman Sachs & Co. [read post]
5 Aug 2009, 6:45 am
After oral argument in this case, other judges from this court addressed that question in another case - Citigroup Global Markets, Inc. v. [read post]
8 Jan 2010, 7:46 am
Halfway through the decade, the world as a whole was experiencing perhaps the greatest runup in aggregate global asset prices ever seen; though the situation appeared to be cresting, no one foresaw imminent collapse. [read post]
12 May 2015, 2:43 pm
The issuer is not required to maintain a secondary market, and, like most structured products, there may be no buyer if the investor needed to liquidate the RCN prior to maturity. [read post]
8 Aug 2023, 11:25 am
According to FINRA broker report, William Weisbrod and Lilia Nia were reportedly affiliated with the following firms during their careers, among others: William Weisbrod: B – 4/27/2009-2/18/2021, Purshe Kaplan Sterling Investments (CRD#:35747), Fairfield, NJ B – 04/22/2005 – 02/06/2009, Citigroup Global Markets INC. [read post]
1 Dec 2011, 4:48 pm
Citigroup Global Markets Inc. [read post]
2 Dec 2011, 5:32 am
Citigroup Global Markets Inc. [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]
15 Feb 2012, 2:40 pm
Also according to Bloomberg, the affidavit in support of the section 11 production orders obtained in this case (see below) indicate that the Bureau was informed that HSBC Holdings Plc, JPMorgan Chase & Co., Citigroup Inc. [read post]
18 Apr 2024, 9:01 pm
I’ll simply note they exist.[5] But it’s not just in the crypto markets. [read post]
28 Jan 2021, 9:34 am
Among the institutions on the pilot list are major banks like Capital One Financial Corp., Citigroup Inc., Goldman Sachs Group Inc., JPMorgan Chase & Co., and Wells Fargo Co. [read post]
26 Aug 2014, 10:13 am
Citigroup Global Markets Inc.Case number: 11-cv-07387 (United States District Court for the Southern District of New York)Case filed: October 19, 2011Qualifying Judgment/Order: August 5, 2014 08/21/2014 11/19/2014 2014-84 SEC v. [read post]
3 May 2010, 1:37 pm
Smith Barney Div. of Citigroup Global Markets, Inc. v. [read post]
5 Mar 2015, 5:52 am
Mylan Pharmaceutical, Inc., ___ F. [read post]
