Search for: "Citigroup Global Markets"
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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]
31 Aug 2023, 8:09 am
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
15 Mar 2012, 12:00 pm
Securities and Exchange Commission and Citigroup Global Markets Inc. are likely to prevail in showing the New York judge was out of line in rejecting their $285 million settlement last fall. [read post]
21 Nov 2014, 7:01 am
Bank’s repurchase claims against Citigroup Global Markets Realty Corp. [read post]
4 Feb 2013, 7:29 am
On January 24, Impac Funding Corp. settled a lawsuit brought by Citigroup Global Markets Inc. alleging violations of Sections 18 and 20 of the Securities Exchange Act and negligent misrepresentation based on alleged misstatements in the Pooling and Servicing Agreement for an RMBS trust. [read post]
22 Apr 2009, 6:14 am
Braintree's suit was filed against Citigroup Global Markets, Inc. and Citi Smith Barney in the U. [read post]
12 Jul 2016, 8:48 am
The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay a $7 million penalty and admit wrongdoing to settle charges that a computer coding error caused the firm to provide the agency with incomplete “blue sheet” information about trades it executed. [read post]
7 May 2012, 2:07 pm
FINRA recently has announced that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
20 Mar 2015, 1:39 pm
Citigroup Global Markets Realty Corp., No. 1:13-cv-06989 (S.D.N.Y. [read post]
17 May 2012, 12:09 pm
On Monday, May 14, 2012, both the SEC and the Citigroup Global Markets, Inc. filed their appellate briefs (available here and here) in the three consolidated appeals regarding Judge Jed Rakoff's November 28, 2011 Opinion and Order rejecting the SEC's proposed settlement with Citigroup. [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]
8 Apr 2014, 3:57 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in February 2012, Claimant Citigroup Global Markets, Inc. asserted breach of contract for failure to pay the balance due on a promissory note. [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]
29 May 2012, 4:08 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has 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. [read post]
12 Jun 2014, 5:00 am
Citigroup Global Markets, Inc., 827 F.Supp.2d 328, 335 (S.D.N.Y., Nov. 28, 2011)). [read post]
28 May 2010, 9:20 pm
According to the Financial Industry Regulatory Authority, Citigroup Global Markets Inc. has consented to pay $1.5 million in disgorgement and fines for failing to properly supervise broker Mark Singer and his handling of trust funds belonging to two cemeteries. [read post]
29 Nov 2011, 12:52 pm
Citigroup Global Markets Inc., 11-cv-7387, U.S. [read post]
18 Jun 2007, 1:25 am
Citigroup Global Markets Inc is being charged $3 million by NASD to settle charges connected to misleading materials it allegedly gave Bellsouth employees during retirement meetings and seminars held in North Carolina and South Carolina. [read post]
27 Jun 2007, 10:03 pm
In Australian Securities and Investments Commission v Citigroup Global Markets Australia Pty Limited (ACN 113 114 832) (No. 4) [2007] FCA 963, the Federal Court has dismissed ASIC's claims and decided that : (a) Citigroup did not contravene its obligations under s 912A(1)(aa) of the Corporations Act to have in place adequate arrangements for the management of conflicts of interest (as it did not have a conflict); and … [read post]
27 Dec 2017, 7:41 am
FINRA Sanctions Citigroup Global Markets Inc. $11.5 Million for Displaying Inaccurate Research Ratings (FINRA Press Release) http://www.finra.org/newsroom/2017/finra-sanctions-citigroup-global-markets-115-million-inaccurate-research-ratingsThe Financial Industry Regulatory Authority fined Citigroup Global Markets Inc. [read post]
