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29 Nov 2011, 8:55 am
[JURIST] A judge for the US District Court for the Southern District of New York [official website] on Monday blocked a proposed $285 million settlement with Citigroup Inc [corporate website] over the sale of toxic mortgage debt. [read post]
1 Jun 2010, 5:02 am
On May 26, 2010, FINRA announced “that it has imposed a monetary sanction of $1.5 million against Citigroup Global Markets Inc. for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee. [read post]
6 Dec 2010, 3:16 pm
Department of the Treasury announced today that it is commencing an underwritten public offering of approximately 2.4 billion shares of Citigroup Inc. common stock. [read post]
25 Jan 2011, 1:02 pm
Department of the Treasury announced yesterday that it commenced a secondary public offering of 255,033,142 warrants to purchase the common stock of Citigroup Inc. [read post]
19 Nov 2007, 7:23 am
Goldman Sachs & Co on Monday downgraded Citigroup Inc to 'sell' from 'neutral,' and said the largest U.S. bank may have to write off $15 billion over the next two quarters as mortgage losses reduce earnings. [read post]
18 Aug 2015, 11:29 am
The Securities and Exchange Commission (SEC) announced this week that two Citigroup Affiliates, Citigroup Global Markets Inc. [read post]
26 May 2020, 4:29 pm
Citigroup Global Markets Inc. [read post]
25 Nov 2014, 6:45 am
However, when Citigroup detected violations involving selective dissemination and client communications, there were lengthy delays before the firm disciplined the research analysts and the disciplinary measures lacked the severity necessary to deter repeat violations of Citigroup policiesFor more information - FINRA Fines Citigroup Global Markets Inc. $15 Million for Supervisory Failures Related to Equity Research and Involvement in IPO Roadshows | Business… [read post]
20 Jan 2017, 6:12 am
The US Commodity Futures Trading Commission (CFTC) [official website] on Thursday ordered [press release] Citigroup Global Markets Inc. [read post]
6 Oct 2008, 11:46 am
[JURIST] Citigroup Inc., Wachovia Corp. and Wells Fargo & Co. [read post]
19 Mar 2012, 12:36 pm
FINRA announced today that it fined Citi International Financial Services LLC, a subsidiary of Citigroup, Inc., $600,000 and ordered more than $648,000 in restitution and interest to more than 3,600 customers for charging excessive markups and markdowns on corporate and... [read post]
12 Oct 2009, 1:32 pm
FINRA announced that it has fined Citigroup Global Markets Inc. $600,000 and censured the firm for failing to supervise complex trading strategies designed in part to minimize potential tax liabilities. [read post]
29 Aug 2023, 1:10 pm
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
17 Nov 2008, 9:31 pm
Citigroup Global Markets is Citigroup Inc's brokerage and securities arm. [read post]
15 Dec 2014, 9:26 am
Citigroup, Inc. has reportedly agreed to pay a $3 million fine for failing to properly deliver prospectuses to some customers. [read post]
26 Jan 2012, 6:00 am
FINRA has fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports (published from January 2007 through March 2010) and research analysts' public appearances. [read post]
29 Mar 2010, 12:39 pm
Department of the Treasury today announced its intention to fully dispose of its approximately 7.7 billion shares of Citigroup, Inc. common stock over the course of 2010 subject to market conditions. [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]
10 Nov 2011, 5:25 am
Citigroup Global Markets Inc, No. 11-07387 (S.D.N.Y). [read post]
10 Aug 2011, 6:19 pm
(Smith Barney is a division of Citigroup Global Markets, Inc. and is now doing business as part of Morgan Stanley Smith Barney, LLC.) [read post]
