Search for: "Citigroup Global Markets"
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28 Aug 2007, 4:52 am
Simons, is said to be considering a share sale, apparently shrugging off concerns about volatile global markets. [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]
14 Jul 2014, 5:33 am
* * * This settlement resolves civil claims against Citigroup arising out of certain securities packaged, securitized, structured, marketed, and sold by Citigroup. [read post]
6 Jun 2014, 6:23 am
Citigroup Global Markets Inc. [read post]
15 Dec 2004, 1:00 am
As for the consumer globalization trend, I have been quite happy with my investment in the the Vanguard Emerging Markets Stock Index fund (VEIEX) which has been up 19.75% YTD. [read post]
12 Apr 2007, 12:38 pm
Citigroup Global Markets, Inc., No. 05-4362 (7th Cir. [read post]
6 Mar 2009, 1:02 pm
Citigroup Global Markets Inc. v. [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]
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]
9 Oct 2008, 3:01 pm
China, making its debut over the last few years, has taken a lot of heat about its role in the global market place, and I find it really interesting that so many are coming out with the “China angle”for this event as well. [read post]
21 Jan 2012, 11:54 am
Citigroup Global Markets sold them through MAT Finance LLC. [read post]
30 Dec 2011, 11:12 am
Rakoff’s recent rejection of the agency’s proposed settlement of fraud charges with Citigroup Global Markets. [read post]
3 May 2012, 11:58 am
The Financial Industry Regulatory Authority (FINRA) announced that it ordered Citigroup Global Markets, Morgan Stanley, UBS Financial Services, and Wells Fargo Advisors to pay more than $9.1 million for failure to supervise and failure to have a reasonable basis for recommending selling leveraged and inverse exchange traded funds. [read post]
5 Mar 2009, 11:04 am
On Thursday, the investment bank announced that it had hired Stanley Hartt, the former head of Citigroup's recently shuttered Global Markets Canada unit to lead its own Canadian operations, as [...] [read post]
5 Mar 2009, 8:34 pm
Today, in Citigroup Global Market v. [read post]
7 Nov 2016, 1:29 pm
Citigroup Global Markets, Inc., … Continue reading Ninth Circuit Disapproves of Imposter Arbitrators → [read post]
1 Feb 2007, 6:26 am
Slevin, who was formerly the chief operating officer of Citigroup’s Asia-Pacific investment-banking unit, will report to the heads of corporate and investment banking and markets and to the co-heads [...] [read post]
20 Aug 2007, 8:13 pm
Richard Gomes, SVP Corporate IT Risk Management Policy, Worldwide Records Managment Program , CITIGROUP GLOBAL MARKETS. [read post]
18 Apr 2008, 4:58 am
Brent Thill, an analyst at Citigroup Global Markets, said in a research note Thursday that Microsoft’s share price already reflects a possible 10 percent increase for its initial stock-cash buyout offer of [...] [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]
