Search for: "Citigroup Global Markets"
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10 Apr 2020, 2:56 pm
Citigroup Global Markets Inc. [read post]
26 May 2020, 4:29 pm
Citigroup Global Markets Inc. [read post]
12 Nov 2020, 6:40 am
Continue reading The post Citigroup Global Markets Inc. [read post]
4 Apr 2024, 10:23 am
The White Law Group Files a Claim against Citigroup Global Markets The White Law Group announces the filing of a FINRA arbitration claim against Citigroup Global Markets for investment losses involving high risk investments. [read post]
25 Nov 2014, 6:45 am
FINRA fined Citigroup Global Markets, finding that from January 2005 to February 2014, Citigroup failed to meet its supervisory obligations regarding the potential selective dissemination of non-public research to clients and sales and trading staff.According to the press release during this period, Citigroup issued approximately 100 internal warnings concerning communications by equity research analysts. [read post]
30 Apr 2020, 6:20 am
Citigroup Global Markets Broker Under Investigation Shepherd, Smith, Edwards & Kantas, a law firm specializing in representing wronged investors, is looking into securities fraud allegations against Timothy Kenska, a broker employed by Citigroup Global Markets out of Encinitas, California. [read post]
29 Dec 2017, 12:31 pm
Are you concerned about your investments with Citigroup Global Markets? [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]
17 Nov 2008, 9:31 pm
Citigroup Global Markets is Citigroup Inc's brokerage and securities arm. [read post]
21 Aug 2019, 12:23 pm
The post CitiGroup Global Markets Censured & Fined appeared first on The White Law Group. [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]
15 May 2018, 11:45 am
FINRA Sanctions Citigroup for Supervisory Issues According to FINRA on February 9, an AWC was issued in which Citigroup Global Markets Inc. [read post]
20 Oct 2011, 9:39 am
Citigroup Global Markets Inc. [read post]
3 Jan 2018, 10:10 am
On Thursday, FINRA stated that Citigroup Global Markets Inc. showed incorrect ratings such as “buy” instead of “sell” to brokers, customers and supervisors on 38% of the equities covered by its research department from February 2011 until December 2015. [read post]
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]
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]
22 Oct 2011, 7:35 pm
Citigroup Global Markets Inc. [read post]
18 Jan 2012, 2:05 pm
FINRA fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports and research analysts' public appearances. [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]
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]
