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29 Nov 2011, 7:39 am
Following yesterday's sharply worded Opinion from Judge Rakoff rejecting the $285 million settlement with Citigroup Global Markets (discussed here), Robert Khuzami, the SEC Director of the Division of Enforcement, issued a statement (available here) claiming that Court "ignore[d] decades of established practice throughout federal agencies and decisions of the federal courts. [read post]
28 Nov 2011, 1:35 pm
Citigroup Global Markets, Inc., SD NY, 11 Civ. 7387, Nov. 28, 2011.An application of judicial power that does not rest on facts is inherently dangerous, emphasized the court, adding that the injunctive power of the judiciary is not a free roving remedy to be invoked at the whim of a regulatory agency, even with the consent of the regulated. [read post]
23 Nov 2011, 9:16 pm
Finra Fines Wells Investment Securities For Alleged Misleading Marketing Materials, The Wall Street Journal, November 22, 2011 Public Non-Traded REITs—Perform a Careful Review Before Investing, FINRA More Blog Posts: Chase Investment Services Corporation Ordered by FINRA to Pay Back $1.9M for Unsuitable Sales of Floating-Rate Loan Funds and UITs, Institutional Investor Securities Blog, November 19, 2011 Morgan Stanley Faces $1M FINRA Fine for Excessive Markups and Markdowns on… [read post]
15 Nov 2011, 8:14 am
These issues, and others, are discussed in greater detail after the jump.The Citigroup Litigation As discussed here, 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]
9 Nov 2011, 8:21 am
Citigroup Global Markets, Inc, SD NY, 11-CIV 7387, Rakoff, J).Noting that the US Supreme Court has expressly endorsed the entry of consent decrees notwithstanding a defendant’s explicit denial of material allegations of the complaint, the SEC said that there is nothing unusual or untoward about a consent decree entered into without an admission of wrongdoing by the defendant, and that criticism of consent decrees for not including such an admission is unjustified. [read post]
8 Nov 2011, 11:54 am
The SEC claimed that after the CDO defaulted within months, investors were saddled with losses, but Citigroup Global Markets made $160 million in fees and trading profits. [read post]
28 Oct 2011, 9:43 am
On Thursday, October 27, 2011, New York federal Judge Jed Rakoff issued an Order in the SEC's case against Citigroup Global Markets, Inc. [read post]
15 Oct 2011, 4:43 am
” He left the administration last year to misinterpret things at Citigroup. [read post]
3 Oct 2011, 7:07 pm
The announcement was as follows: SFC reprimands and fines Citigroup Global Markets Asia Limited $6 million and suspends its former responsible officer The Securities and Futures Commission (SFC) has reprimanded Citigroup Global Markets Asia Limited (Citi Asia), fined it $6 million, and suspended the approval granted to Ms Lisa Chan Sin Man, to act as a responsible officer. [read post]
23 Sep 2011, 6:21 pm
There was no time to spare, according to Paulson and Bernanke, we were literally at the precipice of a global financial crisis that unquestionably would end the world as we’d all come to know it? [read post]
23 Sep 2011, 7:06 am
We say the state is a blundering second or third best to the genius of the market, its efforts to establish limits and quotas will create a mess that even the Invisible Hand cannot sweep clean. [read post]
23 Sep 2011, 7:06 am
We say the state is a blundering second or third best to the genius of the market, its efforts to establish limits and quotas will create a mess that even the Invisible Hand cannot sweep clean. [read post]
20 Sep 2011, 10:00 am
The Fifth Circuit emphatically concluded in Citigroup Global Markets Inc. v. [read post]
15 Sep 2011, 12:10 pm
., the Morgan Stanley part of the June 2009 joint venture with Morgan Stanley andamp; Co. and the Smith Barney division of Citigroup Global Markets, Inc., is no stranger to e-mail problems. [read post]
1 Sep 2011, 11:58 am
For example, on August 9, FINRA announced a $500,000 fine paid by Citigroup Global Markets Inc. for its failure to supervise, Tamara Moon, a registered sales assistant in its Palo Alto, Calif., office. [read post]
20 Jul 2011, 8:30 am
Wall Street is global because capital is global. [read post]
29 May 2011, 5:05 pm
For example, one exemption allowed Citibank to purchase subprime mortgage assets from a newly acquired Citigroup mortgage lending affiliate. [read post]
9 May 2011, 12:31 am
On 7 April 2011 there was a Statement in Open Court in the case of Halyvourgiki Inc v Citigroup Global Markets Ltd. [read post]
10 Jan 2011, 12:14 am
Pauley III observed that: The Complaint describes an unprecedented paralysis of the credit market and a global recession. [read post]
27 Dec 2010, 8:12 pm
10: ASIC guide on margin lending disclosure 09: Website record retention 08: ASIC consults on equity market review 08: Draft principles on open public sector information 02: Financial planners and tax agent registration 01: Contracting with Commonwealth government agencies October 2010 (23) 28: Inquiry into competition within the Australian banking sector 28: Telephone sales of general insurance products 28: Sex and Age Discrimination Legislation Amendment… [read post]
