Search for: "Citigroup Derivatives Markets, Inc."
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8 Mar 2009, 8:17 am
The Delaware chancery court has decided two very important cases arising out of notorious cases of managerial malfeasance or neglect - In re Citigroup Inc Shareholder Derivative Litigation, decided February 24, and American International Group, Inc. [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]
22 Oct 2011, 7:35 pm
Citigroup Global Markets Inc. [read post]
2 May 2012, 6:14 am
The Financial Industry Regulatory Authority ("FINRA") has fined Citigroup Global Markets, Inc. [read post]
6 Mar 2015, 2:57 pm
The Financial Industry Regulatory Authority’s (“FINRA”) February 2015 disciplinary actions release reported that on December 9, 2014, Citigroup Global Markets, Inc. [read post]
20 Oct 2011, 10:11 pm
Citigroup has consented to pay $285 million to settle a Securities and Exchange Commission complaint accusing the bank of misleading investors in a $1 billion derivatives deal—a collateralized debt obligation called Class V Funding III. [read post]
14 Jul 2010, 1:44 pm
A year ago, Judge Stein dismissed a derivative lawsuit against Citigroup for poor business decisions resulting in exposure to the "toxic" subprime mortgage market (In re Citigroup Inc. [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]
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 Dec 2011, 7:55 am
There's more on this case on the firm's website at http://www.riklawfirm.com/ Citigroup’s Mathur Said to Depart With Hybrid Traders as Pandit Cuts Jobs By Donal Griffin - Dec 9, 2011 Citigroup Inc. [read post]
21 Mar 2009, 10:32 am
In re Citigroup Inc. [read post]
24 Feb 2009, 2:34 pm
In Re Citigroup Inc. [read post]
3 May 2012, 8:15 pm
(WFC), UBS AG (UBSN), Morgan Stanley (MS), and Citigroup Inc. [read post]
11 Oct 2011, 9:27 am
The case is Citigroup Global Markets v. [read post]
29 May 2012, 6:05 pm
Citigroup Global Markets Inc. [read post]
2 May 2012, 6:29 am
FINRA announced that it has fined Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
16 Aug 2010, 9:17 pm
It was during this time that the fund sold credit default swaps on beleaguered companies, including Tribune Co., Lehman Brothers Holdings Inc., General Motors Corp, and American International Group Inc. [read post]
15 Nov 2011, 8:14 am
These issues, and others, are discussed in greater detail after the jump.The Citigroup Litigation As discussed here, 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]
1 Sep 2023, 6:07 am
He was previously employed by Morgan Stanley (CRD# 149777), Citigroup Global Markets Inc. [read post]
28 Nov 2011, 1:35 pm
Citigroup Global Markets, Inc., SD NY, 11 Civ. 7387, Nov. 28, 2011.An application of judicial power that does not rest on facts is inherently dangerous, emphasized the court, adding that the injunctive power of the judiciary is not a free roving remedy to be invoked at the whim of a regulatory agency, even with the consent of the regulated. [read post]
