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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]
19 Oct 2011, 6:50 am
Breaking: WSJ’s Jean Eaglesham and Suzanne Kapner are reporting that the Securities and Exchange Commission will vote Wednesday morning on a proposed agreement with Citigroup Inc. to pay more than $200 million to settle civil fraud charges related to its sale of a mortgage-bond deal. [read post]
28 Mar 2011, 11:04 am
” Although the decision in Citigroup Inc. v. [read post]
9 Jun 2011, 11:57 am
Major U.S. banks came under growing pressure from banking regulators to improve the security of customer account information after Citigroup Inc became the latest high-profile victim of a large-scale cyber attack. [read post]
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]
10 Oct 2008, 2:22 am
[JURIST] Citigroup Inc. [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]
19 Oct 2011, 9:08 am
"Citigroup wins in employees' stock drop appeal": Reuters has a report that begins, "A federal appeals court said Citigroup Inc was not liable to thousands of workers who said it should not have offered bank stock in its retirement plans because it knew the stock was a bad investment. [read post]
6 Oct 2008, 11:46 am
[JURIST] Citigroup Inc., Wachovia Corp. and Wells Fargo & Co. [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]
27 Dec 2011, 10:49 am
A Colorado federal judge upheld a $54.1 million arbitration award against Citigroup Global Markets, Inc. [read post]
28 Oct 2010, 6:00 am
Financial giant Citigroup Inc. joins a long list of financial services companies being charged with gender discrimination. [read post]
7 Nov 2012, 1:59 pm
Citigroup Global markets Inc. [read post]
22 Dec 2011, 8:58 am
’s] shareholders to the very litigation risks and potential collateral consequences that Citigroup [Inc.] [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]
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]
16 Oct 2009, 7:06 am
Citigroup Inc. has sold its first LNG cargo on the spot market to GDF Suez. [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]
28 Apr 2014, 1:16 pm
Citigroup, Inc., are... [read post]
5 Apr 2017, 6:00 pm
The heirs of James Jewett Stillman, head of the bank that grew into Citigroup Inc., are fighting to preserve Wethersfield, the country estate of what used to be one of America’s wealthiest families. [read post]
