Search for: "Citigroup Global Markets"
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14 Aug 2009, 8:34 am
Citigroup Global Markets and Citigroup Alternative Investments are already facing an array of similar claims arising out of their sales of similar TOB funds named MAT and ASTA. [read post]
18 Sep 2008, 8:07 pm
Mark Shafir, one of Lehman Brothers’s two global co-heads of mergers and acquisitions, is departing the firm to join Citigroup as a top deal-maker there, people briefed on the matter told DealBook. [read post]
2 Sep 2008, 11:15 am
Citigroup expects to see double-digit growth in assets serviced by its recently expanded Asia-Pacific prime brokerage arm, as it seeks more business with global hedge funds setting up in the region. [read post]
28 Mar 2012, 3:00 am
Citigroup Global Markets Inc., Dkt No. 11-5227-cv-(Lead) (2d Cir. 2012), presents issues related to international practice only indirectly. [read post]
2 Jun 2014, 3:44 am
Rakoff, J.) refusing to approve a settlement between SEC and Citigroup Global Markets Inc. [read post]
16 May 2007, 4:35 am
Last week, Citigroup Global Markets Inc. said it would pay a $200,000 fine to settle charges by the Securities and Exchange Commission. [read post]
2 Aug 2008, 12:00 pm
No big deal there, since receiving a subpoena does not mean that you are the subject of an investigation.However, we then found the story at CNBC - Citigroup Faces Fraud Charges From New York AG which reports that "[t]he office of New York Attorney General Andrew Cuomo said Friday it plans to imminently charge Citigroup's Global Markets and Citi Smith Barney units with fraudulently marketing auction-rate securities and destroying documents that… [read post]
30 Mar 2012, 10:58 am
Citigroup Global Markets, Inc., 2012 WL 851807 (2d Cir. [read post]
18 Sep 2009, 7:27 am
Speaking at the Barclays Capital Global Financial Services Conference on Sept. 15, Citigroup CEO Vikram Pandit for the first time announced publicly that he anticipates the bank to divest its entire 49% stake in Morgan Stanley Smith Barney LLC. [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]
11 Nov 2010, 5:27 pm
A federal bankruptcy judge has approved a settlement involving Citigroup Global Markets Inc. agreeing to repay $95.5 million to clients who sustained auction-rate securities related-losses. [read post]
17 Apr 2009, 6:36 pm
The US District Court for the Western District of Texas should confirm an arbitration award for brokerage firm Citigroup Global Markets Holding Inc. against a former employee who failed to pay his promissory noteâ€â [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]
10 Nov 2011, 5:25 am
Citigroup Global Markets Inc, No. 11-07387 (S.D.N.Y). [read post]
27 May 2010, 5:08 am
WASHINGTON andmdash; The Financial Industry Regulatory Authority (FINRA) announced today 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]
1 Aug 2007, 8:09 am
The New York Stock Exchange has disciplined Citigroup Global Markets for books and records violations and supervisory deficiencies. [read post]
6 Jun 2011, 8:26 am
In a research report issued last week, analysts with Citigroup Global Markets predicted that U.S. [read post]
26 Apr 2009, 4:36 pm
Wachovia Capital Markets LLC and Citigroup Global Markets Inc. will settle allegations by the Michigan Office of Financial and Insurance Regulation that the firms misled investors who bought auction rate securities by paying a combined $880.3 millionâ€â [read post]
2 May 2012, 6:14 am
The Financial Industry Regulatory Authority ("FINRA") has fined Citigroup Global Markets, Inc. [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these… [read post]
