Search for: "Citigroup Global Markets"
Results 121 - 140
of 738
Sorted by Relevance
|
Sort by Date
4 Sep 2009, 1:02 pm
Moon is also accused of recordkeeping violations, falsifying account records, forging signatures on letters asking for unauthorized address changes, and taking part in unauthorized trades while employed with Citigroup Global Markets. [read post]
6 May 2009, 11:53 am
Last week, the Securities and Exchange Commission charged six people, including ex-Citigroup Global Markets' investment banker Maher Kara and his brother Michael Kara, with taking part in a multimillion-dollar insider trading investment scam that involved tipping others about upcoming merger deals. [read post]
25 Jan 2008, 4:56 am
Investment banks including UBS, Citigroup and Merrill Lynch have sought billions of dollars in capital injections from strategic investors in the past [...] [read post]
12 Oct 2009, 12:38 pm
Citigroup Global Market, Inc. has filed a motion to dismiss an action against it by KV Pharmaceuticals Co. arising out of sales of auction rate securities, according to an August 25 article in Law360 by Christine Caufield entitled "Citigroup Argues KV Pharma Knew ARS Risks. [read post]
21 Aug 2012, 1:34 pm
Citigroup Global Markets Inc., in support of the district court's order that refused to approve the proposed... [[ This is a content summary only. [read post]
8 Apr 2009, 9:03 pm
Citigroup Global Markets, Inc v Bacon,____F.3d___(5th Cir. [read post]
21 Aug 2012, 12:40 pm
Citigroup Global Markets Inc., in support of the district court's order that refused to approve the proposed settlement between the parties.... [read post]
1 Nov 2007, 7:30 am
In a matter of minutes Thursday morning, Citigroup, the global banking giant that Mr. [read post]
1 May 2012, 2:22 pm
FINRA announced that it sanctioned 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... [read post]
13 Jan 2012, 5:13 pm
A S.D.N.Y. court 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,... [read post]
11 Jul 2007, 11:41 am
Link: Citigroup Places Japan At Center of Global Plan - WSJ.com. [read post]
29 May 2012, 6:05 pm
Citigroup Global Markets Inc. [read post]
25 Jul 2016, 2:12 am
In a recent FINRA regulatory settlement, we are confronted with allegations that a former Citigroup Global Markets investment banker was involved in humanitarian projects but he ran afoul of FINRA's Outside Business Activity Rule . . . or did he? [read post]
30 Dec 2016, 2:09 am
As demonstrated by a recent public customer arbitration against Citigroup Global Markets, Inc., one more trite expression also comes into play: He who hesitates is lost.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in May 2016, Claimants asserted common law fraud; breach of fiduciary duty; negligent failure to supervise; and negligence in connection with an alleged over-concentration of assets in… [read post]
7 Nov 2012, 1:59 pm
Citigroup Global markets Inc. [read post]
7 Oct 2010, 11:30 am
Hohauser, Esq., Citigroup Global Markets, Inc., New York, New York. [read post]
17 Nov 2011, 3:43 am
He says Citigroup is a good place to start. [read post]
20 Oct 2011, 5:48 am
They are credited with being one of the market creations that nearly destroyed the global financial system. [read post]
13 Feb 2018, 9:07 am
La Junta de Supervisión y Administración Financiera para Puerto Rico (la “Junta de Supervisión”) creada por el Congreso bajo la Puerto Rico Oversight, Management and Economic Stability Act (“PROMESA” o la “Ley”) enmendó hoy su contrato con el consultor financiero Citigroup Global Markets, Inc. [read post]
3 Dec 2018, 11:27 am
It also has been key in helping to establish different loans globally. [read post]
