Search for: "SEC v. Citigroup Global Markets Inc" Results 1 - 20 of 53
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2 Jun 2014, 3:44 am
Rakoff, J.) refusing to approve a settlement between SEC and Citigroup Global Markets Inc. [read post]
21 Oct 2011, 7:44 am by SECLaw Staff
The SEC has charged Citigroup Global Markets Inc. with misleading investors about a $1 billion CDO called Class V Funding III. [read post]
10 Nov 2011, 5:25 am by igorodetski
Citigroup Global Markets Inc, No. 11-07387 (S.D.N.Y). [read post]
17 May 2012, 12:09 pm by William McGrath
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]
15 Mar 2012, 10:54 am by James Hamilton
Citigroup Global Markets, Inc, CA-2, No. 11-5227, March 15, 2012)The panel had no reason to doubt the SEC’s representation that the settlement it reached is in the public interest. [read post]
20 Aug 2012, 10:10 am by James Hamilton
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]
21 Aug 2012, 12:40 pm by Securites Lawprof
Citigroup Global Markets Inc., in support of the district court's order that refused to approve the proposed settlement between the parties.... [read post]
22 Dec 2011, 8:58 am by William McGrath
On Friday, December 16, 2011, the SEC filed a Motion in front of Judge Jed Rakoff, asking him to stay to proceedings which the Commission had brought against Citigroup Global Markets, Inc. while the SEC's appeal is pending before the Second Circuit. [read post]
10 Jan 2020, 1:41 am
In the Matter of Prudential Investment Management Services LLC, Respondent (FINRA AWC)FINRA Fines Citigroup Global Markets Inc. [read post]
13 Jan 2012, 8:09 am by William McGrath
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]
15 Mar 2012, 8:35 am by William McGrath
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]
21 Aug 2012, 1:34 pm by Steve Bainbridge
Citigroup Global Markets Inc., in support of the district court's order that refused to approve the proposed... [[ This is a content summary only. [read post]
8 Nov 2011, 11:54 am by William McGrath
The SEC claimed that after the CDO defaulted within months, investors were saddled with losses, but Citigroup Global Markets made $160 million in fees and trading profits. [read post]
28 Oct 2011, 8:45 am by James Hamilton
Citigroup Global Markets, Inc, SD NY, 11-CIV 7387, Rakoff, J).The court also wants to know the total loss to the victims as a result of the financial institution’s actions and how this was determined. [read post]