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30 Nov 2011, 5:15 am
Citigroup Global Markets Inc, No. 11-07387 (S.D.N.Y). [read post]
7 May 2012, 2:07 pm
FINRA recently has announced that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
7 Jul 2014, 11:24 am
Citigroup Global Markets Inc., 827 F. [read post]
17 May 2012, 12:09 pm
On Monday, May 14, 2012, both the SEC and the Citigroup Global Markets, Inc. filed their appellate briefs (available here and here) in the three consolidated appeals regarding Judge Jed Rakoff's November 28, 2011 Opinion and Order rejecting the SEC's proposed settlement with Citigroup. [read post]
26 Apr 2009, 4:36 pm
Wachovia Capital Markets LLC and Citigroup Global Markets Inc. will settle allegations by the Michigan Office of Financial and Insurance Regulation that the firms misled investors who bought auction rate securities by paying a combined $880.3 millionâ€â [read post]
26 Jul 2010, 9:07 pm
Citigroup Inc. said its free U.S. mobile-banking application for Apple Inc. [read post]
12 May 2015, 2:47 pm
Inc. 17316G677 Citigroup ELKS linked to Schlumberger, Ltd. 17316G685 Citigroup ELKS linked to Wells Fargo & Co. 17316G552 Citigroup ELKS linked to The Dow Chemical Company 17316G545 Citigroup ELKS linked to Netflix, Inc. 17316G586 Citigroup ELKS linked to The Dow Chemical Company 17316G594 Citigroup ELKS linked to Ford Motor Company 17316G511 Citigroup ELKS linked to Las Vegas Sands Corp. 17316G529… [read post]
19 Aug 2011, 6:20 am
Citigroup Inc. et al., for failing to meet the pleading standard set by the Supreme Court in Bell Atlantic Corp. v. [read post]
22 Dec 2008, 5:18 pm
UBS Financial Services, Inc., UBS Securities, LLC, and Citigroup have reached finalized settlements with the Securities and Exchange Commission to pay tens of thousands of ARS investors almost $30 billion. [read post]
30 Dec 2011, 3:17 pm
Citigroup Global Markets, Inc., 11 Civ. 7387, Dec. 27, 2012, (memorandum order). [read post]
22 Dec 2011, 8:58 am
’s] shareholders to the very litigation risks and potential collateral consequences that Citigroup [Inc.] [read post]
4 May 2012, 6:02 pm
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports and research analysts’ public appearances. [read post]
25 Aug 2009, 6:58 pm
“A major fund-raiser for Barack Obama, Hillary Clinton and other Democrats was charged by federal prosecutors in New York in connection with a scheme to defraud Citigroup Inc (C.N). [read post]
18 Jun 2007, 1:25 am
Citigroup Global Markets Inc is being charged $3 million by NASD to settle charges connected to misleading materials it allegedly gave Bellsouth employees during retirement meetings and seminars held in North Carolina and South Carolina. [read post]
13 Oct 2009, 11:00 am
Citigroup, Inc. has agreed to pay a $600,000 Financial Industry Regulatory Authority fine to settle claims that its alleged inadequate supervision of certain derivative transactions between 2002 and 2005 allowed a number of foreign clients to avoid paying taxes on dividends. [read post]
7 Oct 2010, 11:30 am
Hohauser, Esq., Citigroup Global Markets, Inc., New York, New York. [read post]
11 Oct 2011, 9:36 am
“Because Citigroup Global Market Inc. was not a party to the trades in question and because the claimants were not customers of Citigroup Global Markets Inc., their claims should not be subject to FINRA arbitration. [read post]
7 Sep 2011, 8:00 am
Former Citigroup Vice President Pleads Guilty to Bank Fraud for Embezzling More Than $22 Million Gary Foster, a former vice president in Citigroup, Inc.'s treasury finance department, pleaded guilty yesterday to bank fraud arising from his embezzlement of more than $22 million from Citigroup. [read post]
18 Jul 2010, 2:34 pm
The action is styled as In re Citigroup Inc. [read post]
28 Oct 2009, 11:25 pm
Citigroup was ordered to pay a $150,000 fine. [read post]
