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22 Mar 2008, 2:00 am
You can separately subscribe to the IP Thinktank Global week in Review at the Subscribe page: [duncanbucknell.com] Highlights this week included:Google fails to obtain pan-EU trade mark protection for ‘Gmail’ due to confusingly similar German trade mark: (Class 46), (Ars Technica),UK High Court overturns UKIPO decision to refuse computer program patent application in Symbian’s Patent Application, UKIPO announces it will appeal (equivalent patent granted by… [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]
29 Feb 2008, 8:00 am
You can separately subscribe to the IP Thinktank Global week in Review at the Subscribe page: [duncanbucknell.com] Highlights this week included:German Federal Constitutional Court: unauthorised government surveillance of personal computers breaches individual’s right to privacy: (Catch Us If You Can!!!) [read post]
11 Feb 2008, 4:45 am
On October 25, 2007, the Citigroup Global Markets Inc., Goldman Sachs Credit Partners L.P., Deutsche Bank Securities Inc., and Deutsche Bank Trust Company Americas (collectively, the â [read post]
5 Nov 2007, 1:48 pm
"This situation is hardly optimal -- not when global competitio [read post]
31 Oct 2007, 4:00 pm
On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million to settle charges relating to the use of misleading materials in retirement seminars and meetings for BellSouth employees in North and South Carolina. [read post]
21 Oct 2007, 11:50 am
Citigroup Global markets Inc: Find $300,000â€â [read post]
9 Oct 2007, 3:32 pm
Citigroup Global Markets received the heaviest fine of $2.25 million for failing to deliver trade confirmation documents in more than a million consumer transactions. [read post]
20 Sep 2007, 2:50 pm
"(NYSE News Release: NYSE Regulation Fines Citigroup Global Markets for Improper Market Timing of Mutual Funds by Brokers, July 24, 2007). [read post]
13 Sep 2007, 6:19 am
Citigroup Global Markets, Inc., 487 F.Supp.2d 1009, 1012 (S.D. [read post]
20 Aug 2007, 8:13 pm
Richard Gomes, SVP Corporate IT Risk Management Policy, Worldwide Records Managment Program , CITIGROUP GLOBAL MARKETS. [read post]
14 Aug 2007, 9:30 am
On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million to settle charges relating to the use of misleading materials in retirement seminars and meetings for BellSouth employees in North and South Carolina. [read post]
7 Aug 2007, 11:03 am
JUNE 6, 2007: NASD FINED CITIGROUP $3 MILLION FOR FAILURE TO SUPERVISE On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million for its failure to adequately supervise a team of brokers based in Charlotte, NC, who used misleading sales materials during dozens of seminars and meetings for hundreds of employees of BellSouth Corporation. [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]
24 Jul 2007, 11:37 am
(NYSE News Release: NYSE Regulation Fines Citigroup Global Markets for Improper Market Timing of Mutual Funds by Brokers, July 24, 2007). [read post]
11 Jul 2007, 11:41 am
Link: Citigroup Places Japan At Center of Global Plan - WSJ.com. [read post]
2 Jul 2007, 11:32 am
JUNE 6, 2007: NASD FINED CITIGROUP $3 MILLION FOR FAILURE TO SUPERVISE On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million for its failure to adequately supervise a team of brokers based in Charlotte, NC, who used misleading sales materials during dozens of seminars and meetings for hundreds of employees of BellSouth Corporation. [read post]
18 Jun 2007, 1:25 am
Citigroup Global Markets Inc is being charged $3 million by NASD to settle charges connected to misleading materials it allegedly gave Bellsouth employees during retirement meetings and seminars held in North Carolina and South Carolina. [read post]
7 Jun 2007, 11:43 am
, lmelton@dhayeslaw.com THE HAYES LAW FIRM, www.dhayeslaw.com On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million to settle charges relating to the use of misleading materials in retirement seminars and meetings for BellSouth employees in North and South Carolina. [read post]
25 May 2007, 6:21 am
Richard Gomes, SVP Corporate IT Risk Management Policy, Worldwide Records Managment Program , CITIGROUP GLOBAL MARKETS. [read post]
