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29 Dec 2011, 9:47 am
On Wednesday, December 28, 2011, the Second Circuit Court of Appeals stayed the SEC's case against Citigroup Global Markets, Inc. [read post]
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]
30 Nov 2011, 5:15 am
Citigroup Global Markets Inc, No. 11-07387 (S.D.N.Y). [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]
23 Sep 2011, 2:59 pm
In a strange story, a court in the S.D.N.Y. has dismissed the lead plaintiff from a securities class action brought against Smith Barney Fund Management and Citigroup Global Markets because, after six years of litigation, it was revealed that the... [read post]
18 Nov 2009, 2:39 am
Citigroup said on Tuesday it boosted the base salaries for its chief financial officer and a global markets co-head, but still plans to pay its chief executive, Vikram Pandit, $1 for the year. [read post]
7 Oct 2010, 12:49 pm
Ewing in the 1980s hit series "Dallas," has been awarded $11.6 million in a securities arbitration case against Citigroup Global Markets. [read post]
4 May 2009, 11:09 pm
Loree Jr: Guest Blogger Victoria VanBuren Discusses the Role of Federal Arbitration Act Section 10(a)(4) After Citigroup Global Markets, Inc. v. [read post]
22 Dec 2011, 8:58 am
On Friday, December 16, 2011, the SEC filed a Motion in front of Judge Jed Rakoff, asking him to stay to proceedings which the Commission had brought against Citigroup Global Markets, Inc. while the SEC's appeal is pending before the Second Circuit. [read post]
8 Dec 2011, 6:00 am
The U.S. district court for the Southern District of New York last week rejected a $285 million proposed settlement between the Securities & Exchange Commission and Citigroup Global Markets. [read post]
19 Mar 2012, 10:48 am
Court of Appeals for the Second Circuit issued a stay of proceedings in a case brought against Citigroup Global Markets Inc. by the Securities and Exchange Commission. [read post]
19 Jun 2007, 2:01 pm
The National Association of Securities Dealers has fined Citigroup Global Markets $3 million to settle charges relating to the use of misleading materials in retirement seminars and meetings for BellSouth employees in the states of North Carolina and South Carolina. [read post]
5 Jan 2009, 2:02 pm
In Citigroup Global Markets, Inc. v. [read post]
22 Sep 2009, 12:50 pm
FINRA fined Citigroup Global Markets, UBS Securities and Deutsche Bank Securities a total of $425,000 â€â [read post]
16 Dec 2011, 10:31 am
On Thursday, December 15, 2011, the SEC appealed the Opinion and Order issued on November 28, 2011 by Judge Jed Rakoff rejecting the SEC's proposed settlement with Citigroup Global Markets for $285 million (previously discussed here). [read post]
4 Jan 2012, 2:00 am
What started as a settlement between the SEC and Citigroup Global Markets has morphed into something more contentious, as the adversarial nature of the legal battles emerging from the settlement have shifted to include the federal judge overseeing the case. [read post]
7 Aug 2007, 4:47 am
The mezzanine and equity financing will be provided by Citigroup Global Markets and PMA Capital Management on behalf of investment funds it [...] [read post]
15 Mar 2012, 10:54 am
Citigroup Global Markets, Inc, CA-2, No. 11-5227, March 15, 2012)The panel had no reason to doubt the SEC’s representation that the settlement it reached is in the public interest. [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]
11 Dec 2014, 4:35 am
See this recent case for discussion of some of these issues.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2011 public customer Claimants Jiovino and Route 36 East LLC alleged causes of action against Citigroup Global Markets, Inc. [read post]
