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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]
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]
21 Aug 2017, 5:00 am
In In the Matter of Citigroup Global Markets, Inc., SEC Admin. [read post]
17 Mar 2009, 4:11 pm
FINRA announced today that it has imposed a $2 million fine against Citigroup Global Markets for the erroneous publication of non-bona fide quotations and transactions at and around the NASDAQ market opening on a Quadruple Witch Expiration Friday; systemic Order... [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]
19 Jan 2012, 10:21 pm
FINRA says that Citigroup Global Markets will pay a fine of $725K for not disclosing specific conflicts of interest during public appearances made by research analysts and in research reports. [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]
26 May 2010, 1:14 pm
FINRA 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]
22 May 2008, 12:45 pm
In re Citigroup Global Markets, No. 06-0886 (per curiam) (orig. proceeding) Decided: May 16, 2008 The court of appeals held that Citigroup’s (successful) attempt to remove a case to federal court, its (successful) attempt to get an MDL transfer of that case, and then its (successful) request that the MDL court remand the case back to state court was enough to waive an arbitration clause. [read post]
4 May 2012, 6:02 pm
If you have questions about investments you made with Citigroup Global Markets, the securities attorneys of The White Law Group may be able to help. [read post]
28 Sep 2009, 3:54 pm
Citigroup Global Markets, Deutsche Bank Securities, and UBS Securities have agreed to pay fines for Financial Industry Regulatory Authority sanctions over their handling of Vonage LLC stock's initial public offering in 2006. [read post]
9 Aug 2011, 2:35 pm
The FINRA fined Citigroup Global Markets, Inc. $500,000 for failing to supervise Tamara Moon, a former registered sales assistant at the firm's branch office in Palo Alto, California. [read post]
22 May 2012, 3:57 pm
FINRA announced today that it fined Citigroup Global Markets, Inc. $3.5 million for providing inaccurate mortgage performance information, supervisory failures and other violations in connection with subprime residential mortgage-backed securitizations (RMBS). [read post]
6 Apr 2010, 12:56 pm
In its first enforcement action involving a broker-dealer stock borrow program, the Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $650,000 for disclosure and supervisory violations relating to the operation of its Direct... [read post]
31 Mar 2009, 1:50 pm
Wachovia Securities and Citigroup Global Markets entered settlements with California to buy back $4.7 billion in ARS from California residents and companies. [read post]
27 Jan 2009, 10:47 am
The SEC recently sued Citigroup Global Markets for continuing to sell massive amounts of auction-rate securities despite the knowledge that "there are definitely cracks forming in the market" and that "inventories are starting to creep higher in the market and failed auction frequency is at an all time high. [read post]
17 Jul 2007, 10:47 pm
ASIC has announced that it will not lodge an appeal in ASIC v Citigroup Global Markets Australia Pty Limited.It is considering its position on costs. [read post]
15 Mar 2012, 10:52 am
Citigroup Global Markets. [read post]
20 Oct 2011, 8:23 am
In the Citigroup Global Markets case, while the parties have agreed to a settlement it has not yet been approved by the Court. [read post]
11 Nov 2013, 12:42 pm
Bank National Association, acting in its capacity as trustee for Citigroup Mortgage Loan Trust 2007-AHL2, filed a lawsuit in the Supreme Court for the State of New York against Citigroup Global Markets Realty Corp. [read post]
