Search for: "Citigroup Funding, Inc."
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3 Nov 2009, 3:38 pm
Citigroup, Inc. [read post]
21 Oct 2011, 6:29 am
Wall Street fraud related to so-called mortgage-backed securities, collateralized debt obligations (CDO) or mortgage bonds has now resulted in fines exceeding one (1) billion dollars, after Citigroup Inc. yesterday agreed to settle SEC civil fraud charges for $285 million. [read post]
21 Jan 2012, 11:54 am
For example, a memo with the heading “Fund Rescue Options “noted that if the broker’s client let Citigroup repurchase the instruments, this would not be noted in his/her U-5 regulatory record. [read post]
12 Jul 2018, 6:06 am
From 1998 to 2009, Rankin was registered with Citigroup Global Markets Inc. [read post]
12 Apr 2011, 11:58 am
Sophisticated investors won a $54 million arbitration award against Citigroup Global Markets Inc. related to the MAT leveraged municipal arbitrage hedge fund. [read post]
12 Apr 2011, 11:58 am
Sophisticated investors won a $54 million arbitration award against Citigroup Global Markets Inc. related to the MAT leveraged municipal arbitrage hedge fund. [read post]
30 Jul 2012, 4:27 pm
(JPM), Goldman Sachs Group Inc. [read post]
29 May 2012, 6:05 pm
Citigroup Global Markets Inc. [read post]
20 Feb 2012, 7:40 am
Citigroup Inc. is paying $158 mllion as a settlement for accusations that the company took advantage of a federal mortgage insurance program. [read post]
9 Feb 2012, 8:00 pm
., Wells Fargo & Company, Citigroup Inc. and Ally Financial Inc. [read post]
2 May 2012, 6:29 am
FINRA announced that it has fined Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
15 Oct 2009, 6:19 pm
Citigroup funds Mergers and Acquisitions activity, which often results in layoffs of excess employees or factory closings at target companies to make them run more efficiently. [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]
2 Jul 2014, 7:01 am
Bradford in New York in 1989 and was at Citigroup Global Markets Inc. in 2000 when the alleged Ponzi scheme began. [read post]
16 Aug 2010, 9:17 pm
It was during this time that the fund sold credit default swaps on beleaguered companies, including Tribune Co., Lehman Brothers Holdings Inc., General Motors Corp, and American International Group Inc. [read post]
23 Jun 2008, 12:15 pm
Mosinee Paper Corp., 422 US 49 (1975) and Treadway Cos., Inc. v. [read post]
29 Apr 2019, 12:55 pm
The defendants are Bank of America NA, Barclays Capital, Wells Fargo Securities, LLC, Citigroup Global Markets, Inc., BNP Paribas Securities Corp., Deutsche Bank Securities, JPMorgan Securities, HSBS Bank Plc, HSBC Securities, JP Morgan Chase Bank, TD Securities, Nomura Securities International Inc., and Merrill Lynch, Pierce, Fenner & Smith. [read post]
16 Dec 2011, 10:50 am
But to a layman it seems rather odd that a Securities and Exchange Commission official would accuse a federal district judge of committing a “legal error by announcing a new and unprecedented standard” when that judge insisted simply on facts being established before he would sign off on an agreement between the SEC and Citigroup Inc. [read post]
2 Dec 2011, 10:44 am
Massachusetts Attorney General Martha Coakley filed a lawsuit on December 1, 2011 against JPMorgan Chase & Co., Bank of America Corp., Citigroup Inc., Wells Fargo & Co., and Ally Financial Inc., in state court in Boston. [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]
