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27 Sep 2021, 12:27 pm
Read More The post CFTC Orders Citibank and Citigroup Global Markets Limited to Pay a $1 Million Penalty for Swap Data Reporting Violations, Related Supervision Failures, and Violation of a prior CFTC Order appeared first on CFTC Law. [read post]
6 Dec 2011, 9:07 am
., office of Citigroup Global Markets Inc., has been fined and suspended by the Financial Industry Regulatory Authority, or FINRA, for her failure to supervise a sales assistant who misappropriated almost $750,000 from customers. [read post]
21 Aug 2017, 5:00 am
In In the Matter of Citigroup Global Markets, Inc., SEC Admin. [read post]
1 Feb 2012, 9:00 am
Citigroup Global Markets has been ordered to pay $500,000 to a former branch manager who alleged the company fired him because of his age. [read post]
27 Jun 2007, 10:03 pm
In Australian Securities and Investments Commission v Citigroup Global Markets Australia Pty Limited (ACN 113 114 832) (No. 4) [2007] FCA 963, the Federal Court has dismissed ASIC's claims and decided that : (a) Citigroup did not contravene its obligations under s 912A(1)(aa) of the Corporations Act to have in place adequate arrangements for the management of conflicts of interest (as it did not have a conflict); and … [read post]
20 Mar 2015, 1:39 pm
Citigroup Global Markets Realty Corp., No. 1:13-cv-06989 (S.D.N.Y. [read post]
7 Jul 2014, 11:24 am
Citigroup Global Markets Inc., 827 F. [read post]
29 Nov 2011, 7:39 am
Following yesterday's sharply worded Opinion from Judge Rakoff rejecting the $285 million settlement with Citigroup Global Markets (discussed here), Robert Khuzami, the SEC Director of the Division of Enforcement, issued a statement (available here) claiming that Court "ignore[d] decades of established practice throughout federal agencies and decisions of the federal courts. [read post]
2 May 2008, 6:14 am
Hedge funds marketed by Citigroup as "ideal investments for conservative retirees" have now lost 75% or more of their value. [read post]
28 Oct 2011, 9:43 am
On Thursday, October 27, 2011, New York federal Judge Jed Rakoff issued an Order in the SEC's case against Citigroup Global Markets, Inc. [read post]
27 Apr 2015, 10:26 am
On April 22, 2015, the Second Circuit vacated and remanded a district court’s decision dismissing on statute of limitations grounds claims Woori Bank brought against Citigroup Global Markets arising out of Woori’s purchase of $25 million in collateralized debt obligations. [read post]
7 Nov 2012, 1:59 pm
Citigroup Global markets Inc. [read post]
15 Mar 2012, 10:54 am
Citigroup Global Markets, Inc, CA-2, No. 11-5227, March 15, 2012)The panel had no reason to doubt the SEC’s representation that the settlement it reached is in the public interest. [read post]
12 Oct 2009, 12:38 pm
Citigroup Global Market, Inc. has filed a motion to dismiss an action against it by KV Pharmaceuticals Co. arising out of sales of auction rate securities, according to an August 25 article in Law360 by Christine Caufield entitled "Citigroup Argues KV Pharma Knew ARS Risks. [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]
8 Nov 2008, 1:48 am
Citigroup Global Markets, Inc., 2008 WL 4426412 (2d Cir. [read post]
8 Nov 2008, 1:48 am
Citigroup Global Markets, Inc., 2008 WL 4426412 (2d Cir. [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]
8 Nov 2011, 11:54 am
The SEC claimed that after the CDO defaulted within months, investors were saddled with losses, but Citigroup Global Markets made $160 million in fees and trading profits. [read post]
3 Oct 2011, 7:07 pm
The announcement was as follows: SFC reprimands and fines Citigroup Global Markets Asia Limited $6 million and suspends its former responsible officer The Securities and Futures Commission (SFC) has reprimanded Citigroup Global Markets Asia Limited (Citi Asia), fined it $6 million, and suspended the approval granted to Ms Lisa Chan Sin Man, to act as a responsible officer. [read post]
