Search for: "Citigroup Financial Products, Inc."
Results 41 - 60
of 155
Sort by Relevance
|
Sort by Date
8 Sep 2015, 8:07 am
In another blog post, Malecki Law cited fines against Citigroup Global Markets, Inc., Morgan Stanley & Co, LLC, UBS Financial Services, and Wells Fargo Advisors, LLC for permitting recommendations of inverse and leveraged ETFs without proper supervision. [read post]
18 Aug 2015, 11:29 am
The Securities and Exchange Commission (SEC) announced this week that two Citigroup Affiliates, Citigroup Global Markets Inc. [read post]
18 Aug 2015, 6:23 am
From January 2003, until May 2007, Honingstock was registered with UBS Financial Services, Inc. [read post]
25 Jun 2015, 6:18 am
From June 2003, until April 2009, Tricarico was associated with Citigroup Global Markets Inc. [read post]
20 May 2015, 2:54 pm
One was called the International Bank Corporation and is today’s Citibank, (part of Citigroup, the biggest financial conglomerate in the world.)The second one was the Banco Nacional de Panama. [read post]
12 May 2015, 3:30 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]
12 May 2015, 3:26 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]
12 May 2015, 2:47 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]
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]
9 Apr 2015, 11:59 am
The important university patents seem to be in biotechnology areas. n118 Though universities are generally large entities, like NPEs, they have limited exposure because they do not make products. [read post]
6 Mar 2015, 2:57 pm
The Financial Industry Regulatory Authority’s (“FINRA”) February 2015 disciplinary actions release reported that on December 9, 2014, Citigroup Global Markets, Inc. [read post]
16 Jan 2015, 12:01 pm
No.2: Citigroup Inc. fined for $15 millionReason for Fine: Not adequately protecting against “potential selective dissemination of non-public research to clients and sales and trading staff. [read post]
16 Jan 2015, 6:16 am
– $5 million Citigroup Global Markets Inc. [read post]
1 May 2014, 6:40 am
There are legitimate defenses to promissory note claims and financial advisors should research their rights before simply agreeing to settle such claims. [read post]
15 Jan 2014, 2:22 pm
Of the more than $1 million to be paid, $550,000 comes in the form of a fine to be split by Stifel, Nicolaus & Co., Inc. and Century Securities Associates Inc. [read post]
2 Jan 2014, 5:26 am
Experient Inc., Opposition No. 91190253 [Section 2(d) opposition to registration of the mark EXPERIENT for meeting, convention, exhibition, seminar, event, tradeshow, and conference services, in view of Opposer's alleged prior use of the identical mark EXPERIENT for event marketing and planning services].January 15, 2014 - 2 PM: Citigroup Inc. v. [read post]
7 May 2013, 6:34 am
According to media, an Ohio pension fund, the Sheet Metal Workers Local 33 Cleveland District Pension Plan, is seeking damages against Goldman Sachs, Citigroup Inc. and ten other banks that, according to the pension fund, have restrained competition for credit default swaps (CDS) in violation of federal antitrust law. [read post]
5 Mar 2013, 10:29 pm
Citigroup, Inc., No. 10-0722-cv (L), slip op. at 15-16 (2d Cir. [read post]
28 Jan 2013, 6:15 am
Last May, Finra ordered broker-dealers of four major banks, Wells Fargo & Co., Citigroup Global Markets Inc., Morgan Stanley and UBS Financial Services Inc., to pay $9.1 million in fines and restitution for selling such funds “without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
9 Jul 2012, 10:06 pm
The complaint, which can be found here, alleges that Barclays, several Barclays entities, and several other banks, conspired to artificially manipulate the reported European Interbank Offered Rates (“EURIBOR”), which, the complaint alleges is “the baseline interest rate used in the valuation of more than $200 trillion in derivative financial products. [read post]
