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14 Aug 2009, 5:23 am
” In re Citigroup, Inc., Auction Rate Securities (ARS) Marketing Litig. [read post]
29 Dec 2020, 12:04 pm
(CRD#:6363), Morgan Stanley Smith Barney (CRD#:149777) and Citigroup Global Markets Inc. [read post]
22 Sep 2021, 9:23 am
Citigroup Global Markets Inc. [read post]
11 Aug 2008, 9:20 pm
Those firms accused have included UBS, Bear, Stearns, Citigroup, Lehman Brothers, Merrill Lynch, RBC Dain Rauscher Inc., A.G. [read post]
18 Jul 2012, 4:23 am
Pay Day: The proposed $7.25 billion settlement in a private lawsuit brought by retailers against Visa Inc and Mastercard Inc could spell one of the most generous paydays in U.S. history for lawyers, Reuters reports. [read post]
12 Oct 2011, 6:14 pm
Under the agreement, officials anticipate that Bank of America, Citigroup, Wells Fargo, J.P. [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]
17 Mar 2009, 6:00 pm
District Court for the Southern District of Texas vacated the award, (Citigroup Global Markets, Inc. [read post]
15 Jun 2016, 5:31 am
Citigroup Inc has sued AT&T Inc, alleging that their use of "thanks" and "AT&T thanks" in a new customer loyalty programme infringed Citigroup's trademark rights to the phrase "thankyou. [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]
28 Nov 2011, 1:35 pm
Citigroup Global Markets, Inc., SD NY, 11 Civ. 7387, Nov. 28, 2011.An application of judicial power that does not rest on facts is inherently dangerous, emphasized the court, adding that the injunctive power of the judiciary is not a free roving remedy to be invoked at the whim of a regulatory agency, even with the consent of the regulated. [read post]
24 Jul 2007, 4:46 pm
The Smith Barney unit of Citigroup Global Markets Inc. will pay a fine of $10 million to the NYSE, and a fine of $5 million to the State of New Jersey, related to a "separate regulatory matter arising out of the same conduct. [read post]
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]
18 Jan 2009, 12:29 pm
Inc., Allstate Corp. and Berkshire Hathaway Inc. reportedly have subsidiaries in tax havens or financial privacy jurisdictions such as Bermuda and Switzerland. [read post]
Recent Fourth Circuit opinion on FLSA "opt-in" classes: Long John Silver's Restaurants, Inc. v. Cole
5 Mar 2008, 6:00 am
Citigroup Global Markets, Inc., 2006 WL 449132 (N.D. [read post]
13 Sep 2007, 6:19 am
Citigroup Global Markets, Inc., 487 F.Supp.2d 1009, 1012 (S.D. [read post]
19 May 2017, 8:32 am
., Inc.; Whale Securities Co., L.P.; Citicorp Investment Services; and Citigroup Global Markets Inc. [read post]
28 Aug 2018, 11:20 am
M & T Securities, Inc Vincent Canzoneri Sigma Financial Corporation Ameriprise Financial Services, Inc Barry Connell Morgan Stanley UBS Financial Services Inc Charles Cox Wells Fargo Advisors, LLC Chase investment Services Corp Shane Dawkins Westpark Capital Joseph Stone Capital LLC Mark Flanagan Citigroup Global Markets Inc Wells Fargo… [read post]
30 Mar 2011, 8:55 am
Whereas: Citigroup, Inc. is a leading originator, securitizer and servicer of home mortgages. [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]
