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Securities Industry Commentator by Bill Singer Esq
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]
Broke and Broker - http://brokeandbroker.com/index.php
Sullivan & Cromwell partners see uptick in spoofing enforcement, emphasis on surveillance and cooperation
3 Jul 2018, 6:00 am by Lene Powell
Spoofing in the securities markets can be charged by the SEC under general anti-fraud and anti-manipulation provisions of the Securities Act and Exchange Act. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Richmont Holdings, Inc. v. Superior Recharge System, L.L.C. No. 13-0907 (Tex. 2014) Motion for Rehearing denied in case in which Texas Supreme Court found no waiver of right to arbitrate by litigation conduct
13 Mar 2015, 12:04 pm by WOLFGANG DEMINO
Inc. v. [read post]
ADR Law Texas - http://texas-arbitration-case-law.blogspot.com/
Texas Supreme Court Denies Motion for Rehearing in case in which it found no waiver of right to arbitrate by litigation conduct and reversed Fort Worth Court of Appeals
13 Mar 2015, 12:04 pm by MOTP
Inc. v. [read post]
ADR Law Texas - http://texas-arbitration-case-law.blogspot.com/
No Admit, No Deny – No Longer?
4 Dec 2014, 10:09 am by Christopher M. Varano
Citigroup Global Markets Inc., 827 F. [read post]
Securities Compliance Sentinel - http://securitiescompliancesentinel.foxrothschild.com
SEC Whistleblower Awards List August 2014
26 Aug 2014, 10:13 am by Mary Jane Wilmoth
Citigroup Global Markets Inc.Case number: 11-cv-07387 (United States District Court for the Southern District of New York)Case filed: October 19, 2011Qualifying Judgment/Order: August 5, 2014 08/21/2014 11/19/2014 2014-84 SEC v. [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement
7 Jul 2014, 11:24 am by Jeff Kern
Citigroup Global Markets Inc., 827 F. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
Reversed! Judge Rakoff’s Legacy From SEC v. Citigroup Global Markets, Inc., 2014 WL 2486793 (2nd Cir. June 4, 2014)
12 Jun 2014, 5:00 am by Herrick Lidstone
Citigroup Global Markets, Inc., 827 F.Supp.2d 328, 335 (S.D.N.Y., Nov. 28, 2011)). [read post]
The Race to the Bottom - http://www.theracetothebottom.org/
Second Circuit Vacates Rejection of Settlement in the Citigroup Case
6 Jun 2014, 6:23 am by Kobi Kastiel, Co-editor, HLS Forum on Corporate Governance and Financial Regulation,
Citigroup Global Markets Inc. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Enforcement Gets a Boost! Second Circuit Vacates Judge Rakoff’s Settlement Rejection
5 Jun 2014, 4:36 am by Broc Romanek
Citigroup Global Markets Inc., in which it concluded that the district court’s refusal to approve a consent judgment between the SEC and Citigroup was an abuse of discretion. [read post]
TheCorporateCounsel.net Blog - http://www.thecorporatecounsel.net/Blog/
Second Circuit Okays SEC's No-Admit Pact with Citigroup
4 Jun 2014, 9:04 am by Barry Barnett
Citigroup Global Markets, Inc., 827 F. [read post]
Blawgletter - http://blawgletter.typepad.com/bbarnett/
Second Circuit Vacates And Remands SEC v. Citigroup
2 Jun 2014, 3:44 am
Rakoff, J.) refusing to approve a settlement between SEC and Citigroup Global Markets Inc. [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Guest Post: The Business Judgment Rule Under Attack
24 Jan 2014, 12:57 am by Kevin LaCroix
 In FDIC v. [read post]
The D & O Diary - http://www.dandodiary.com/
Guest Post: The Business Judgment Rule Under Attack
24 Jan 2014, 12:57 am by Kevin LaCroix
 In FDIC v. [read post]
The D & O Diary - http://www.dandodiary.com/
Ronald Anglin Investigated by the SEC Over Charges of Securities Fraud
15 Jan 2014, 6:21 am by Adam Weinstein
From 2004 through October 2008, Anglin was a registered representative of Citigroup Global Markets, Inc. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Record SEC Settlement in S.A.C. Capital Investigation. Well….Kind Of.
24 Apr 2013, 9:38 am by Anushila Shaw
Citigroup Global Markets, Inc., 11-cv-5227 (2d Cir.). [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/
US v. Google Settlement Adds A Twist to Settlements Without Admission of Liability
3 Dec 2012, 7:08 am by Neil Rosenbaum
Citigroup Global Markets Inc.). [read post]
Consumer Advertising Law Blog - http://www.consumeradvertisinglawblog.com/
Update on FTC v. Circa Direct: A Weighty Matter Finally Settled
31 Oct 2012, 6:38 am by Neil Rosenbaum
The Court cited SEC v. [read post]
Consumer Advertising Law Blog - http://www.consumeradvertisinglawblog.com/
Briefs in Support of Judge Rakoff
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]
ProfessorBainbridge.com - http://www.professorbainbridge.com/professorbainbridgecom/
In Support of Judge Rakoff
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]
Securities Law Prof Blog - http://lawprofessors.typepad.com/securities/