Search for: "Citigroup Global Markets Holdings Inc."
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28 Nov 2006, 4:48 am
For example, Shenzhen Development Bank announced in October 2002 that Newbridge Capital Inc. had acquired a stake of 18.02 percent in the bank through an investment of new capital and the acquisition of existing holdings from state shareholders. [read post]
19 Dec 2011, 2:26 am
Tamara de Silva December 19, 2011 Last Thursday December 15, 2011 was MF Global Holdings Ltd.'s and MF Global Inc.'s Chief Executive Jon Corzine's third time to testify before Congress. [read post]
19 Dec 2011, 8:33 am
Citigroup Global Markets, Inc., SD NY, 11 Civ. 7387, Nov. 28, 2011.The SEC's long-standing policy of allowing defendants to enter into consent judgments without admitting or denying the underlying allegations deprived the court of even the most minimal assurance that the substantial injunctive relief it is being asked to impose has any basis in fact.The SEC took the position that, because the financial institution did not expressly deny the allegations, the… [read post]
7 Jun 2007, 11:43 am
, lmelton@dhayeslaw.com THE HAYES LAW FIRM, www.dhayeslaw.com On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million to settle charges relating to the use of misleading materials in retirement seminars and meetings for BellSouth employees in North and South Carolina. [read post]
6 Apr 2018, 11:33 am
“The clobbering tech shares have taken in recent days has magnified not only how influential these companies have become in people’s everyday lives, but how much sway they have gained in global stock markets,” the Wall Street Journal recently noted. [read post]
Recent Fourth Circuit opinion on FLSA "opt-in" classes: Long John Silver's Restaurants, Inc. v. Cole
5 Mar 2008, 6:00 am
Citigroup Global Markets, Inc., 2006 WL 449132 (N.D. [read post]
2 Jun 2008, 6:06 am
There is a little uncertainty about whether (and when) argument will be held in the additional case In re Citigroup Global Markets, Inc., No. 08-0289, petition, which is currently abated. [read post]
10 Jul 2012, 6:00 am
The largest reported individual settlement for the first half of 2012 was Raj Rajaratnam’s $92.8 million settlement with the SEC, while the largest company settlement was with Citigroup Global Markets, Inc. for $285 million. [read post]
23 Feb 2012, 10:53 am
., Wells Fargo & Company, Citigroup Inc. and Ally Financial Inc. was reached by the federal government and 49 state attorneys general to address mortgage loan servicing and foreclosure abuses. [read post]
19 Dec 2011, 10:24 am
" The decades-long practice has garnered a great deal of attention recently, particularly in light of Judge Jed Rakoff's November 28, 2011 decision (discussed here) to reject the SEC's settlement with Citigroup Global Markets, Inc. due to that very practice The exact timing of the Congressional Committee hearing has not been set, yet.The SEC has defended the practice in court cases (as discussed here), arguing that accepting settlements where the… [read post]
9 Feb 2010, 10:53 am
., a case brought by a group of former WorldCom, Inc. shareholders against Salomon Smith Barney & Co (Citigroup Global Markets, Inc.) and its financial analyst Jack Grubman. [read post]
10 Feb 2011, 6:50 am
The respondents in the cased include Citigroup Global Markets Inc., operating under the name Smith Barney, and Citigroup Alternative Investments LLC. [read post]
2 Jun 2009, 7:51 am
Mattel, Inc., 128 S. [read post]
20 Aug 2015, 9:30 pm
Securities and Exchange Commission’s (SEC) recent finding that Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC had made misleading and false representations to certain investors, the SEC announced that the two Citigroup affiliates had agreed to pay nearly $180 million to settle the charges. [read post]
8 Sep 2015, 8:07 am
In another blog post, Malecki Law cited fines against Citigroup Global Markets, Inc., Morgan Stanley & Co, LLC, UBS Financial Services, and Wells Fargo Advisors, LLC for permitting recommendations of inverse and leveraged ETFs without proper supervision. [read post]
14 Aug 2007, 9:30 am
On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million to settle charges relating to the use of misleading materials in retirement seminars and meetings for BellSouth employees in North and South Carolina. [read post]
31 Mar 2020, 6:40 am
VelocityShares 3x Inverse Crude Oil ETN is an exchange-traded note issued by Citigroup Global Markets Holdings Inc. and guaranteed by Citigroup Inc. [read post]
17 Mar 2009, 12:41 pm
Citigroup Global Markets v. [read post]
9 Jun 2008, 2:33 pm
Since last week, the Court has dismissed In re Citigroup Global Markets, Inc. [read post]
31 Oct 2007, 4:00 pm
On June 6, 2007, the NASD fined Citigroup Global Markets, Inc., $3 million to settle charges relating to the use of misleading materials in retirement seminars and meetings for BellSouth employees in North and South Carolina. [read post]
