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21 Jan 2012, 11:54 am
Secrets of a Sales Machine, NY Times, January 14, 2012 Citigroup Slammed With $54 Million Award by FINRA Arbitrators in MAT/ASTA Case, Forbes, April 12, 2011 More Blog Posts: Citigroup Request to Overturn $54.1M Municipal Bond Arbitration Ruling Denied by Judge, Institutional Investor Securities Blog, December 27, 2011 Citigroup Global Markets Settles for $725,000 FINRA Fine Over Failure to Disclose Conflicts of Interest, Stockbroker Fraud Blog, January 20, 2012 … [read post]
20 Jan 2012, 1:26 pm
It includes Dell Inc., Qwest Communications, Citigroup, UBS Financial Services, Johnson & Johnson, JP Morgan, Deloitte and Touché, and General Electric Company. [read post]
19 Jan 2012, 10:21 pm
Citi settles with Finra over alleged conflicts at its brokerage, Investment News, January 20, 2012 Finra Fines Citigroup $725,000 For Alleged Research Violations, The Wall Street Journal, January 18, 2012 Financial Industry Regulatory Authority More Blog Posts: Citigroup’s $285M Settlement With the SEC Is Turned Down by Judge Rakoff, Stockbroker Fraud Blog, November 28, 2011 Citigroup Global Markets Inc. [read post]
19 Jan 2012, 3:06 pm
Citigroup Inc. [read post]
18 Jan 2012, 2:05 pm
FINRA fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports and research analysts' public appearances. [read post]
18 Jan 2012, 5:00 am
Zedillo served as President of Mexico from 1994 to 2000, and sits on the board of Alcoa Inc., Citigroup, Inc., and Grupo PRISA. [read post]
18 Jan 2012, 12:31 am
This issue has recently been addressed in the case of Citigroup, Inc. v. [read post]
13 Jan 2012, 8:54 am
These cases and other matters from the last month are discussed in greater detail after the jump.The SEC's Appeal in the Citigroup Global Markets Appeal It is remarkable to think that it has been less than three months since the SEC announced its $285 million settlement with Citigroup Global Markets, Inc. under the usual neither-admit-nor-deny standard. [read post]
13 Jan 2012, 8:54 am
These cases and other matters from the last month are discussed in greater detail after the jump.The SEC's Appeal in the Citigroup Global Markets Appeal It is remarkable to think that it has been less than three months since the SEC announced its $285 million settlement with Citigroup Global Markets, Inc. under the usual neither-admit-nor-deny standard. [read post]
13 Jan 2012, 8:09 am
Citigroup Global Markets, Inc. appeal, requesting that the Second Circuit reject the "potentially dangerous, approach to reviewing settlement agreements" in Judge Jed Rakoff's November 28, 2011 decision in the lower court.Judge Rakoff's decision to reject the proposed settlement with Citigroup Global Markets criticized the policy of accepting settlements without an admission of liability. [read post]
12 Jan 2012, 4:09 pm
There was a report about the case on the 5RB Website as well as in the Press Gazette and the Lawyer. 7.4.11 SIOC/11/0428 Halyvourgiki Inc v Citigroup Global Markets Ltd. [read post]
11 Jan 2012, 10:11 am
The SEC’s announcement stated that this new policy involves only a “minority” of its enforcement actions, and is “separate from and unrelated” to the recent rejection by the United States District Court for the Southern District of New York of its proposed $285 million settlement with Citigroup Global Markets Inc. arising from the bank’s lucrative short trading bets against a billion dollar collateralized debt obligation (CDO) composed of home… [read post]
9 Jan 2012, 12:58 am
Thus, for example, the dismissal motions were denied in the Lehman Brothers case (about which refer here), in the Bear Stearns case (here), in the BofA/Merrill Lynch merger case (here), as well as in the Citigroup case (here), the AIG case (here) and the Washington Mutual case (here). [read post]
3 Jan 2012, 10:32 am
Citigroup Global Markets, Inc. was discussed in some detail in our Top 10 piece last Friday. [read post]
30 Dec 2011, 3:17 pm
Citigroup Global Markets, Inc., 11 Civ. 7387, Dec. 27, 2012, (memorandum order). [read post]
30 Dec 2011, 11:26 am
., Citigroup Inc. and Ally Financial. [read post]
30 Dec 2011, 7:27 am
The Citigroup Case: Judge Rakoff's Decision and the Potential Impact on How SEC Cases Proceed. [read post]
29 Dec 2011, 9:47 am
On Wednesday, December 28, 2011, the Second Circuit Court of Appeals stayed the SEC's case against Citigroup Global Markets, Inc. [read post]
27 Dec 2011, 2:42 pm
Annuity News Now Harrington Investments, Inc., (HII) a socially responsible investment advisory firm has filed shareholder resolutions calling on Citigroup, Bank of America, and JP Morgan Chase to stop indemnifying directors against civil and criminal liabilities. [read post]
27 Dec 2011, 2:07 pm
The Securities and Exchange Commission on Tuesday asked a federal appeals court to place an emergency hold on the agency’s lawsuit against Citigroup Inc. while the court weighs an appeal of the SEC’s proposed $285 million settlement with the bank. [read post]
