Search for: "CITIGROUP GLOBAL CAPITAL MARKETS INC."
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21 Oct 2011, 7:44 am
The SEC has charged Citigroup Global Markets Inc. with misleading investors about a $1 billion CDO called Class V Funding III. [read post]
26 Apr 2009, 4:36 pm
Wachovia Capital Markets LLC and Citigroup Global Markets Inc. will settle allegations by the Michigan Office of Financial and Insurance Regulation that the firms misled investors who bought auction rate securities by paying a combined $880.3 millionâ€â [read post]
11 Nov 2010, 5:27 pm
A federal bankruptcy judge has approved a settlement involving Citigroup Global Markets Inc. agreeing to repay $95.5 million to clients who sustained auction-rate securities related-losses. [read post]
20 Oct 2011, 8:23 am
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]
11 Oct 2011, 9:36 am
“Because Citigroup Global Market Inc. was not a party to the trades in question and because the claimants were not customers of Citigroup Global Markets Inc., their claims should not be subject to FINRA arbitration. [read post]
31 Aug 2023, 8:09 am
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
27 Aug 2015, 9:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Two Citigroup affiliates, 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]
13 Jan 2012, 8:09 am
Citigroup Global Markets, Inc. appeal, requesting that the Second Circuit reject the "potentially dangerous, approach to reviewing settlement agreements" in Judge Jed Rakoff's November 28, 2011 decision in the lower court.Judge Rakoff's decision to reject the proposed settlement with Citigroup Global Markets criticized the policy of accepting settlements without an admission of liability. [read post]
30 Nov 2011, 8:19 am
Below is Bloomberg piece about our client's $383 million FINRA arbitration claim against Citigroup Global Markets, Inc. related to hedge funds, private equity, and derivatives. [read post]
14 Nov 2018, 2:54 pm
His BrokerCheck record notes that he was previously a broker for Banc of America Investment Services, Inc. and Citigroup Global Markets (C). [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]
9 Nov 2023, 6:29 am
(CRD# 8174) of Paramus, NJ, Morgan Stanley Smith Barney (CRD# 149777) and Citigroup Global Markets Inc. [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]
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]
21 Jan 2012, 11:54 am
Citigroup Global Markets sold them through MAT Finance LLC. [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]
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]
3 May 2012, 8:15 pm
(WFC), UBS AG (UBSN), Morgan Stanley (MS), and Citigroup Inc. [read post]
27 Dec 2021, 7:12 am
Citigroup Global Markets Inc. [read post]
