Search for: "Citigroup,Inc."
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5 Jun 2008, 12:30 am
Student-loan company Brazos Group Inc. is $12 billion in debt, $7 billion of which it is unable to purchase back, refinance, or restructure. [read post]
14 Aug 2009, 8:34 am
The Bankruptcy Estate of Terra Securities ASA and seven Norwegian municipalities have filed a securities fraud action against Citigroup Global Markets, Inc. and related entities, as reported in the Wall Street Journal and news wires. [read post]
29 Dec 2017, 12:31 pm
Citigroup Global Markets Reportedly displayed inaccurate research ratings According to the Financial Industry Regulatory Authority, the regulator fined Citigroup Global Markets Inc. $5.5 million on Thursday and required the firm to pay at least $6 million in compensation to retail customers for displaying inaccurate research ratings for numerous equity securities. [read post]
27 Dec 2017, 7:41 am
FINRA Sanctions Citigroup Global Markets Inc. $11.5 Million for Displaying Inaccurate Research Ratings (FINRA Press Release) http://www.finra.org/newsroom/2017/finra-sanctions-citigroup-global-markets-115-million-inaccurate-research-ratingsThe Financial Industry Regulatory Authority fined Citigroup Global Markets Inc. [read post]
2 Jun 2014, 3:44 am
Rakoff, J.) refusing to approve a settlement between SEC and Citigroup Global Markets Inc. [read post]
17 Aug 2018, 2:57 am
Among my favorite tunes was one that often reminds me of Wall Street: "Chain of Fools"Citigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls (SEC Press Release 2018-155)https://www.sec.gov/news/press-release/2018-155-0Citigroup Inc. and its U.S. broker-dealer subsidiary Citigroup Global Markets Inc. [read post]
16 May 2007, 4:35 am
Last week, Citigroup Global Markets Inc. said it would pay a $200,000 fine to settle charges by the Securities and Exchange Commission. [read post]
23 Jan 2008, 9:22 pm
The amount is more than six times the $2.8 billion reserve for Enron, WorldCom Inc. and initial public offering-related litigation that Citigroup disclosed in a Nov. 5 regulatory filing.Citigroup Trial May Double Enron Creditors' Payout [read post]
21 Feb 2023, 7:04 am
Citigroup Inc. is an investment firm headquartered in New York with more than $700 billion in assets under management. [read post]
3 Jan 2018, 10:10 am
On Thursday, FINRA stated that Citigroup Global Markets Inc. showed incorrect ratings such as “buy” instead of “sell” to brokers, customers and supervisors on 38% of the equities covered by its research department from February 2011 until December 2015. [read post]
29 Oct 2010, 11:37 am
The two firms advised on Japanese IT services company NTT Data's $1.2 billion acquisition of Keane Inc., a Citigroup subsidiary. [read post]
26 Jan 2012, 6:00 am
FINRA has fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports (published from January 2007 through March 2010) and research analysts' public appearances. [read post]
11 Nov 2010, 5:27 pm
The ARS were told by Citigroup to LandAmerica 1031 Exchange Services Inc. before the latter folded in 2008. [read post]
31 Jul 2010, 8:36 am
[JURIST] The US Securities and Exchange Commission [government website] announced Thursday that it has charged Citigroup Inc. [read post]
20 Oct 2011, 8:23 am
On Wednesday, October 19, 2011, the SEC announced a settlement with Citigroup's principal U.S. broker-dealer, Citigroup Global Markets, Inc., who had been charged with misleading investors about a $1 billion collateralized debt obligation ("CDO") tied to the housing market. [read post]
30 Dec 2011, 3:17 pm
Citigroup Global Markets, Inc., 11 Civ. 7387, Dec. 27, 2012, (memorandum order). [read post]
28 May 2010, 9:20 pm
According to the Financial Industry Regulatory Authority, Citigroup Global Markets Inc. has consented to pay $1.5 million in disgorgement and fines for failing to properly supervise broker Mark Singer and his handling of trust funds belonging to two cemeteries. [read post]
12 Oct 2009, 12:38 pm
Citigroup Global Market, Inc. has filed a motion to dismiss an action against it by KV Pharmaceuticals Co. arising out of sales of auction rate securities, according to an August 25 article in Law360 by Christine Caufield entitled "Citigroup Argues KV Pharma Knew ARS Risks. [read post]
25 Aug 2009, 6:58 pm
“A major fund-raiser for Barack Obama, Hillary Clinton and other Democrats was charged by federal prosecutors in New York in connection with a scheme to defraud Citigroup Inc (C.N). [read post]
30 Nov 2011, 8:19 am
Below is Bloomberg piece about our client's $383 million FINRA arbitration claim against Citigroup Global Markets, Inc. related to hedge funds, private equity, and derivatives. [read post]
