Search for: "Citigroup Global Markets,Inc."
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6 Jun 2014, 6:23 am
Citigroup Global Markets Inc. [read post]
11 Jun 2021, 5:47 am
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5908/finra-citigroup-awc/When it comes to Wall Stree... [read post]
7 Oct 2010, 11:30 am
Hohauser, Esq., Citigroup Global Markets, Inc., New York, New York. [read post]
30 Apr 2009, 10:40 am
Four female stock brokers sued Citigroup Global Markets Inc. alleging gender discrimination. [read post]
25 Jan 2019, 12:51 pm
His previous employers include Citigroup Global Markets Inc. [read post]
4 Sep 2014, 10:46 am
Citigroup Global Mkts., Inc. v. [read post]
27 Dec 2017, 11:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer.http://www.rrbdlaw.com/3745/securities-industry-commentator/In today’s Securities Industry Commentator feed:FINRA Sanctions Citigroup Global Markets Inc. $11.5 Million for Displaying Inaccurate Research Ratings (FINRA Press Release) Th... [read post]
25 May 2007, 6:21 am
Richard Gomes, SVP Corporate IT Risk Management Policy, Worldwide Records Managment Program , CITIGROUP GLOBAL MARKETS. [read post]
2 May 2012, 6:29 am
FINRA announced that it has fined Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
30 Sep 2008, 9:41 pm
Citigroup Global Markets, Inc. [read post]
9 Feb 2009, 3:09 pm
Various companies, including Citigroup Global Markets Inc., Wells Fargo Securities, LLC, Bank of America Securities LLC, Merrill Lynch & Co. [read post]
3 Dec 2018, 11:27 am
A preliminary $182M settlement has been reached in a benchmark rigging lawsuit between investors and banks Citigroup Inc. [read post]
28 Oct 2009, 2:54 am
See Citigroup Global Markets, Inc. v. [read post]
22 Jan 2019, 8:00 am
His previous employers include Citigroup Global Markets Inc. [read post]
14 Jul 2014, 5:33 am
According to DOJ’s press release: The Justice Department, along with federal and state partners, today announced a $7 billion settlement with Citigroup Inc. to resolve federal and state civil claims related to Citigroup’s conduct in the packaging, securitization, marketing, sale and issuance of residential mortgage-backed securities (RMBS) prior to Jan. 1, 2009. [read post]
21 Oct 2007, 11:50 am
Citigroup Global markets Inc: Find $300,000â€â [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]
8 Nov 2008, 1:48 am
Citigroup Global Markets, Inc., 2008 WL 4426412 (2d Cir. [read post]
8 Nov 2008, 1:48 am
Citigroup Global Markets, Inc., 2008 WL 4426412 (2d Cir. [read post]
20 Oct 2011, 10:11 pm
Citigroup to Pay $285 Million to Settle SEC Claims on Mortgage-Linked CDO, Bloomberg, October 19, 2011 Citigroup to Pay Millions to Close Fraud Complaint, NY Times, October 19, 2011 Related Blog Resources: Goldman Sachs Settles SEC Subprime Mortgage-CDO Related Charges for $550 Million, Stockbroker Fraud Blog, July 30, 2010 JPMorgan Chase to Pay $211M to Settle Charges It Rigged Municipal Bond Transaction Bidding Competitions, Stockbroker Fraud Blog, July 9, 2011 … [read post]
