Search for: "CITIGROUP GLOBAL CAPITAL MARKETS INC."
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15 Jan 2014, 12:11 am
It is a global and decentralized market. [read post]
13 Jan 2014, 2:48 pm
<> Green Bond Principles Created to Help Issuers and Investors Deploy Capital for Green Projects - Bank of America Corporation (NYSE: BAC), Citigroup Inc. [read post]
24 Apr 2013, 9:38 am
Citigroup Global Markets, Inc., 11-cv-5227 (2d Cir.). [read post]
16 Oct 2012, 4:05 pm
Since the mortgage crisis, banks are under pressure regarding their profits, which haven’t been helped by unimpressive investment returns and unspectacular capital market activities. [read post]
15 Jun 2012, 11:30 am
In a Motion to Suppress and a Motion to Dismiss, the defendants raised issues regarding DOJ's relationship with Control Components, Inc. [read post]
11 May 2012, 6:27 pm
Ferrer, the company’s ex-CEO and vice chairman, and Carlos Ortiz, the firm’s capital markets head. [read post]
3 May 2012, 8:15 pm
(WFC), UBS AG (UBSN), Morgan Stanley (MS), and Citigroup Inc. [read post]
10 Apr 2012, 2:19 pm
In other stockbroker fraud news, Citigroup Inc. [read post]
2 Apr 2012, 6:15 am
Okay, follow me… Weyerheuser Lumber Company had a finance company they called Weyerheuser Mortgage Company, or WMC… and they sold it in 1997 or 1998 for $192 million to a company called Apollo Global Management, which was founded by Leon Black in 1990, and today manages an estimated $100 billion in assets. [read post]
31 Mar 2012, 8:17 pm
Patricia Collantes was fined $8,000 and suspended from association with any FINRA member in any principal capacity in relation to findings that while acting as Operating Manager at Citigroup Global Markets Inc. in Palo Alto, California, Ms. [read post]
14 Mar 2012, 8:43 am
Among the other market crisis cases brought by the SEC are proceedings against: • RBC Capital Markets LLC who was named in a September 2011 settled administrative proceeding brought by the SEC for misconduct relating to the sale of unsuitable investments (credit-linked notes that were tied to the performance of synthetic collateralized debt obligations or "CDOs") to five Wisconsin school districts; • Thomas Wu, the former CEO of United Commercial Bank,… [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]
3 Feb 2012, 11:43 am
Global Markets, Inc. case, focusing on the fact that a number of the companies appear to be repeat offenders and asking in his October 27, 2011 Order: The proposed judgment imposes injunctive relief against future violations. [read post]
21 Jan 2012, 11:54 am
Citigroup Global Markets sold them through MAT Finance LLC. [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]
1 Dec 2011, 1:58 pm
–based broker-dealer Citigroup Global Markets Inc., so "their claims should not be subject to FINRA arbitration. [read post]
30 Nov 2011, 2:15 pm
S&P said that it was applying some new standards to its rating methodology that “focus on how institutions manage their businesses under market and economic stress. [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]
