Search for: "Citigroup Global Markets,Inc."
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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]
18 Jan 2010, 1:02 pm
Two months ago we reported that Citigroup Global Markets, Inc. had asked a New York court to dismiss a $72 million lawsuit filed against it by KV Pharmaceutical Co. [read post]
21 Jan 2012, 11:54 am
Citigroup Global Markets sold them through MAT Finance LLC. [read post]
9 Nov 2023, 6:29 am
(CRD# 8174) of Paramus, NJ, Morgan Stanley Smith Barney (CRD# 149777) and Citigroup Global Markets Inc. [read post]
28 Oct 2009, 11:25 pm
According to NYSER: • Citigroup Global Markets Inc. allegedly cancelled 365 market-on-close (MOC) orders after the cutoff time at 3:40 ET on four 2007 trade dates and submitted, between December 9 2008 and January 5, 2009, 12,480 limited-on-close (LOC) orders after the cutoff time on 18 trade dates. [read post]
28 Nov 2011, 11:55 pm
Rakoff rejected what would have been the sixth civil settlement agreement between Citigroup Global Markets Inc. [read post]
12 Apr 2011, 11:58 am
Sophisticated investors won a $54 million arbitration award against Citigroup Global Markets Inc. related to the MAT leveraged municipal arbitrage hedge fund. [read post]
12 Apr 2011, 11:58 am
Sophisticated investors won a $54 million arbitration award against Citigroup Global Markets Inc. related to the MAT leveraged municipal arbitrage hedge fund. [read post]
1 May 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has accused David Lee Shafranek, a former broker with Citigroup Global Markets, of outside business activity. [read post]
11 Jun 2021, 5:47 am
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System (BrokeAndBroker.com Blog)CFTC Charges Former Energy Broker and Its Owner with Misappropriation of Nonpublic Information, Fraud, and Supervision Violations (CFTC Release)Las Vegas Woman Pleads Guilty To $10 Million Tech Support Fraud Scheme That Exploited The Elderly / Technical Support Scheme Deceived More Than 7,500 Victims Across the United States and Canada, Many of Whom… [read post]
5 Dec 2011, 6:16 am
Securities and Exchange Commission and Citigroup Global Markets Inc. last week, Jenna Greene explores whether companies would settle with federal agencies if forced to admit wrongdoing. [read post]
9 Oct 2007, 3:32 pm
Citigroup Global Markets received the heaviest fine of $2.25 million for failing to deliver trade confirmation documents in more than a million consumer transactions. [read post]
16 Oct 2012, 4:05 pm
Since the mortgage crisis, banks are under pressure regarding their profits, which haven’t been helped by unimpressive investment returns and unspectacular capital market activities. [read post]
15 Nov 2011, 8:14 am
These issues, and others, are discussed in greater detail after the jump.The Citigroup Litigation As discussed here, on Wednesday, October 19, 2011, the SEC announced a settlement with Citigroup's principal U.S. broker-dealer, Citigroup Global Markets, Inc., who had been charged with misleading investors about a $1 billion collateralized debt obligation ("CDO") tied to the housing market. [read post]
8 Nov 2011, 11:54 am
Judge Jed Rakoff has scheduled a hearing for Wednesday, November 9, 2011 to consider the proposed settlement.As discussed here, on Wednesday, October 19, 2011, the SEC announced a settlement with Citigroup's principal U.S. broker-dealer, Citigroup Global Markets, Inc., who has been charged with misleading investors about a $1 billion collateralized debt obligation ("CDO") tied to the housing market. [read post]
1 Sep 2023, 6:07 am
He was previously employed by Morgan Stanley (CRD# 149777), Citigroup Global Markets Inc. [read post]
15 Sep 2011, 12:10 pm
., the Morgan Stanley part of the June 2009 joint venture with Morgan Stanley andamp; Co. and the Smith Barney division of Citigroup Global Markets, Inc., is no stranger to e-mail problems. [read post]
3 May 2012, 8:15 pm
(WFC), UBS AG (UBSN), Morgan Stanley (MS), and Citigroup Inc. [read post]
3 Jan 2012, 10:32 am
Citigroup Global Markets, Inc. was discussed in some detail in our Top 10 piece last Friday. [read post]
2 Jul 2014, 7:01 am
Bradford in New York in 1989 and was at Citigroup Global Markets Inc. in 2000 when the alleged Ponzi scheme began. [read post]
