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28 Sep 2018, 3:00 am
Citigroup Must Pay Over $12M Over Dark Pool Allegations To settle Securities and Exchange Commission that it misled users of a dark pool run by an affiliate , Citigroup Global Markets Inc. [read post]
28 Mar 2012, 3:00 am
Citigroup Global Markets Inc., Dkt No. 11-5227-cv-(Lead) (2d Cir. 2012), presents issues related to international practice only indirectly. [read post]
29 Mar 2011, 2:47 am
Citigroup, Inc. v. [read post]
2 May 2012, 6:14 am
("Citigroup"), Morgan Stanley, UBS Financial Services, Inc. [read post]
10 Jan 2020, 1:41 am
In the Matter of Prudential Investment Management Services LLC, Respondent (FINRA AWC)FINRA Fines Citigroup Global Markets Inc. [read post]
4 Nov 2016, 6:02 am
Citigroup Global Markets, Inc., Defendant/Appellee (Opinion; 9 Cir.; 14-56650, 14-CV-04418 / November 4, 2016). [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]
24 Feb 2009, 7:58 am
In re Citigroup Inc. [read post]
24 Feb 2009, 7:58 am
In re Citigroup Inc. [read post]
28 Nov 2011, 10:28 am
Rakoff has turned down the proposed $285M settlement between the SEC and Citigroup Global Markets Inc. [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]
15 Apr 2014, 11:16 am
Citigroup, Inc., Case No. 13-5994 (6th Cir. [read post]
29 May 2012, 4:08 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $3.5 million for providing inaccurate mortgage performance information, supervisory failures and other violations in connection with subprime residential mortgage-backed securitizations. [read post]
9 Dec 2011, 7:55 am
There's more on this case on the firm's website at http://www.riklawfirm.com/ Citigroup’s Mathur Said to Depart With Hybrid Traders as Pandit Cuts Jobs By Donal Griffin - Dec 9, 2011 Citigroup Inc. [read post]
16 Oct 2007, 7:55 pm
Hale noted that the $100 billion fund announced yesterday by Citigroup Inc., Bank of America Corp. [...] [read post]
22 May 2012, 3:57 pm
FINRA announced today that it fined Citigroup Global Markets, Inc. $3.5 million for providing inaccurate mortgage performance information, supervisory failures and other violations in connection with subprime residential mortgage-backed securitizations (RMBS). [read post]
15 Sep 2018, 12:50 pm
Citigroup Inc was ordered to pay more than $12 million by U.S. regulators on Friday after it was found that the bank’s investment banking and financial advisory unit misled users of a “dark pool” operated by one of its affiliates.SEC Press ReleaseReuters ArticleSEC Order Instituting Proceedings [read post]
30 Jul 2012, 1:36 pm
A lawyer for a former Citigroup Inc. employee accused of misleading investors in a $1 billion mortgage-bond deal called on the lovable children's character Waldo on Monday to demonstrate how he claims the Securities & Exchange Commission focused its civil case on actions by others, rather than his client. [read post]
6 Apr 2010, 12:56 pm
In its first enforcement action involving a broker-dealer stock borrow program, the Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $650,000 for disclosure and supervisory violations relating to the operation of its Direct... [read post]
31 Aug 2012, 5:42 pm
Citigroup Inc. [read post]
