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29 Dec 2020, 12:04 pm
(CRD#:6363), Morgan Stanley Smith Barney (CRD#:149777) and Citigroup Global Markets Inc. [read post]
15 Dec 2020, 9:45 am
The tip related to the “fraudulent marketing and selling of a proprietary foreign currency trading program” by Morgan Stanley and its affiliate broker-dealer Citigroup Global Markets, Inc. [read post]
12 Nov 2020, 6:40 am
Continue reading The post Citigroup Global Markets Inc. [read post]
9 Nov 2020, 2:43 am
She said she would propose new powers for enforcers to tackle market failures in digital markets and to stop new ones from emerging. [read post]
29 Oct 2020, 7:36 am
Central Bank Digital Currencies Have the Power to Upend Global FinanceCoinTelegraph – October 26, 2020 Central bank digital currencies will fundamentally change our conceptions of money and its uses. [read post]
15 Oct 2020, 4:07 am
“In the Citigroup Global Markets proceeding, Citigroup Global Markets moved for sanctions, including attorneys’ fees, against both defendant and his attorney, plaintiff, August 4, 2017. [read post]
14 Oct 2020, 5:36 am
Then he was a broker with Painewebber Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets, and Gunnallen Financial. [read post]
14 Oct 2020, 5:36 am
Then he was a broker with Painewebber Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets, and Gunnallen Financial. [read post]
24 Jul 2020, 6:23 am
Reed, former Citicorp/Citigroup CEO. [read post]
26 May 2020, 4:29 pm
Citigroup Global Markets Inc. [read post]
8 May 2020, 9:25 am
Avelino Cortina III AC3 Capital, LLC Wells Fargo Advisors,LLC William Despard Morgan Stanley Citigroup Global Markets Inc. [read post]
8 May 2020, 6:31 am
FINRA Arbitrators Award Severance to Former Barclays Employee (BrokeAndBroker.com Blog)How Citigroup, Morgan Stanley Are Returning to Offices in Asia (Bloomberg by Cathy Chan and Alfred Liu)The Work-From-Home Trader Who Shook Global Markets / A new book reveals fresh details about the man authorities blamed for the Flash Crash that erased $1 trillion of value in a matter of minutes. [read post]
30 Apr 2020, 6:20 am
Citigroup Global Markets Broker Under Investigation Shepherd, Smith, Edwards & Kantas, a law firm specializing in representing wronged investors, is looking into securities fraud allegations against Timothy Kenska, a broker employed by Citigroup Global Markets out of Encinitas, California. [read post]
10 Apr 2020, 2:56 pm
Citigroup Global Markets Inc. [read post]
31 Mar 2020, 6:48 am
Unfortunately for investors, COVID-19 global pandemic has caused securities markets to crash. [read post]
31 Mar 2020, 6:40 am
VelocityShares 3x Inverse Crude Oil ETN is an exchange-traded note issued by Citigroup Global Markets Holdings Inc. and guaranteed by Citigroup Inc. [read post]
16 Mar 2020, 8:45 am
Also, in 2012, FINRA sanctioned Citigroup global markets, LLC, Morgan Stanley and Co LLC; UBS Financial services; and Wells Fargo advisors LLC over more than $9.1million dollars for selling leveraged and inversed ETFs without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
20 Jan 2020, 9:01 pm
For example, in its annual report, Citigroup listed risks that could adversely affect its profits, including: (1) global and local economic conditions; (2) credit, market, and liquidity risk; (3) competition; (4) country risk; (5) “operational risk,” i.e., “the risk of fraud by employees and outsiders”; (6) U.S. fiscal policies; (7) harm to reputation and losses by possible legal violations; and (8) certain regulatory liabilities.Risk differs from… [read post]
13 Jan 2020, 1:45 pm
Morgan Securities LLC, Morgan Stanley Smith Barney LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc., for failing to ensure asset transfers on legally mandated dates for at least 80,585 accounts. 53,384 of the accounts came from Morgan Stanley and 15,366 accounts came from Merrill Lynch; while, 5,666 accounts were at J.P. [read post]
13 Jan 2020, 12:04 pm
The Chief Marketing Officer (CMO) Council, a global network of senior marketing executives, selected Carnival Corporation as one of the “Bruised, Battered and Embattled Brands” in 2019. [read post]
