Search for: "Citigroup Global Markets"
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28 Sep 2018, 3:00 am
Citigroup Must Pay Over $12M Over Dark Pool Allegations To settle Securities and Exchange Commission that it misled users of a dark pool run by an affiliate , Citigroup Global Markets Inc. [read post]
28 Nov 2011, 10:28 am
Rakoff has turned down the proposed $285M settlement between the SEC and Citigroup Global Markets Inc. [read post]
15 Mar 2012, 8:35 am
This morning, the Second Circuit's Motion Panel granted the SEC's motion to stay the District Court proceedings in the litigation against Citigroup Global Markets, Inc. while the appellate court considers whether it should set aside Judge Rakoff's decision refusing to approve the settlement between the parties. [read post]
30 Nov 2011, 8:19 am
Below is Bloomberg piece about our client's $383 million FINRA arbitration claim against Citigroup Global Markets, Inc. related to hedge funds, private equity, and derivatives. [read post]
7 Jul 2014, 11:24 am
Citigroup Global Markets Inc., 827 F. [read post]
27 Aug 2015, 9:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Two Citigroup affiliates, Citigroup Global Markets Inc. [read post]
28 Nov 2011, 11:30 am
In a scathing Opinion and Order issued on Monday, November 28, 2011, Judge Jed Rakoff rejected the SEC proposed settlement with Citigroup Global Markets for $285 million, suggesting the SEC was hoping for "a quick headline" and finding "that the proposed Consent Judgment is neither fair, nor reasonable, nor adequate, nor in the public interest. [read post]
13 Jan 2012, 8:09 am
Citigroup Global Markets, Inc. appeal, requesting that the Second Circuit reject the "potentially dangerous, approach to reviewing settlement agreements" in Judge Jed Rakoff's November 28, 2011 decision in the lower court.Judge Rakoff's decision to reject the proposed settlement with Citigroup Global Markets criticized the policy of accepting settlements without an admission of liability. [read post]
9 Aug 2011, 8:59 am
El Rhazi, a former futures and option trader and Vice President of Citigroup Global Markets Ltd in the United Kingdom, was accused of non-competitive trading, misappropriation, and fraud in April of this year by the CFTC.A federal judge in New York has found that, beginning in November 2010, El Rhazi conducted a series of non-competitive palladium and platinum futures trades on the Globex trading platform at the New York Mercantile Exchange. [read post]
29 Nov 2011, 6:44 am
Here is Judge Rakoff's Order Rejecting Proposed SEC-CITIGROUP GLOBAL MARKETS INC.Settlement. [read post]
30 Dec 2017, 3:00 am
There is so much to unpack in FINRA’s recent settlement with Citigroup Global Markets over its analyst ratings. [read post]
22 Aug 2017, 12:50 pm
Analysts at HSBC Holdings, Citigroup and Morgan Stanley see mounting evidence that global markets are in the last stage of their rallies before a downturn in the business cycle. ... [read post]
12 Apr 2011, 1:34 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel in Denver has ordered Citigroup Global Markets, Inc. to pay over $54 million in damages for its abusive conduct in marketing and managing various investments including municipal bond hedge funds known as MAT/ASTA. [read post]
17 Sep 2018, 9:58 am
Presented in today's BrokeAndBroker.com Blog is a dispute in which two former Citigroup Global Markets customers sued the brokerage firm for trades that were recommended in 1999 when they had accounts at Merrill Lynch. [read post]
2 May 2008, 6:14 am
Hedge funds marketed by Citigroup as "ideal investments for conservative retirees" have now lost 75% or more of their value. [read post]
20 Aug 2012, 10:10 am
Citigroup Global Markets, Inc., 11-5227-CV, CA-2)In March of this year, a Second Circuit panel stayed the district court proceedings after concluding that the SEC and Citigroup have a strong likelihood of success in their appeal of and effort to overturn the district court’s ruling. [read post]
23 Mar 2009, 9:14 am
Following an arbitration panel's order that Citigroup Global Markets pay Debra M. [read post]
24 Apr 2023, 3:33 am
Was it Citigroup Global Markets' fault? [read post]
30 Dec 2011, 3:17 pm
Citigroup Global Markets, Inc., 11 Civ. 7387, Dec. 27, 2012, (memorandum order). [read post]
25 Nov 2011, 8:42 am
A Thursday, November 24, 2011 article from Bob Van Voris on Bloomerg.com states that Citigroup Global Markets, Inc. may have to pay more than the proposed $285 million settlement with the SEC to satisfy Judge Jed Rakoff that the accord is fair. [read post]
