Search for: "CITIGROUP, INC."
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1 Oct 2018, 1:04 pm
It also names several entities: All in Publishing, LLC, Gasher Inc., Montano Enterprises, Berry Media Works, and GSD Master Ag. [read post]
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]
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.https://www.reuters.com/article/citigroup-investigation-sec/sec-orders-citigroup-to-pay-12-mln-to-settle-dark-pool-probe-idUSL3N1W053P [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]
12 Sep 2018, 10:06 am
From August 2002 to June 2009, Musso was registered with Citigroup Global Markets Inc. [read post]
28 Aug 2018, 11:20 am
M & T Securities, Inc Vincent Canzoneri Sigma Financial Corporation Ameriprise Financial Services, Inc Barry Connell Morgan Stanley UBS Financial Services Inc Charles Cox Wells Fargo Advisors, LLC Chase investment Services Corp Shane Dawkins Westpark Capital Joseph Stone Capital LLC Mark Flanagan Citigroup Global Markets Inc Wells Fargo… [read post]
17 Aug 2018, 1:05 pm
Ameriprise Financial Services Charged for Failing to Safeguard Client AssetsAmeriprise Financial Services Inc. will pay $4.5 million to settle charges that it failed to safeguard retail investor assets from theft by its representatives. [read post]
17 Aug 2018, 1:05 pm
Ameriprise Financial Services Charged for Failing to Safeguard Client AssetsAmeriprise Financial Services Inc. will pay $4.5 million to settle charges that it failed to safeguard retail investor assets from theft by its representatives. [read post]
17 Aug 2018, 2:57 am
Among my favorite tunes was one that often reminds me of Wall Street: "Chain of Fools"Citigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls (SEC Press Release 2018-155)https://www.sec.gov/news/press-release/2018-155-0Citigroup Inc. and its U.S. broker-dealer subsidiary Citigroup Global Markets Inc. [read post]
3 Aug 2018, 11:55 am
See Citigroup Inc. v. [read post]
31 Jul 2018, 1:18 pm
He was previously employed by Citigroup Global Markets Inc. [read post]
24 Jul 2018, 10:59 am
From February 2006 to June 2009, Gibbons was registered with Citigroup Global Markets, Inc. [read post]
12 Jul 2018, 6:06 am
From 1998 to 2009, Rankin was registered with Citigroup Global Markets Inc. [read post]
12 Jul 2018, 4:38 am
Weiser v Citigroup, Inc. [read post]
3 Jul 2018, 6:00 am
In January 2017, the CFTC settled charges against Citigroup, finding that Citigroup traders spoofed and Citigroup failed to supervise them. [read post]
27 Jun 2018, 4:44 pm
“From Mars bars to Hermes scarves, supermarkets to hotels and data firms to drug makers, the source of this wealth is varied and its scale is startling: more than the market cap of Apple Inc., all the deposits held by Citigroup Inc. or the entire GDP of Indonesia…” [read post]
25 Jun 2018, 8:19 am
From October 2005 to June 2009, Bernstein was registered with Citigroup Global Markets Inc. [read post]
18 Jun 2018, 5:18 am
’” Id. at 11 (citing Citigroup Inc. v. [read post]
12 Jun 2018, 8:51 am
Courtesy of LAWA The bonds were underwritten by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc. and Ramirez & Co., Inc. [read post]
