Search for: "SEC v. Citigroup Global Markets Inc"
Results 21 - 40
of 72
Sort by Relevance
|
Sort by Date
21 Aug 2012, 12:40 pm
Citigroup Global Markets Inc., in support of the district court's order that refused to approve the proposed settlement between the parties.... [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]
11 Aug 2012, 1:56 pm
Another broker who was recently cleared of wrongdoing is former Citigroup Global Markets Inc. [read post]
22 Jun 2012, 6:44 am
Citigroup Global Markets, Inc. [read post]
16 Jun 2012, 9:28 pm
The Ex-Morgan Stanley Smith Barney broker (and before that he worked for predecessor company Citigroup Global Markets Inc. [read post]
15 Jun 2012, 11:30 am
., U.S. v. [read post]
26 May 2012, 7:05 pm
Citigroup Global Markets, Inc. go to trial. [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]
11 May 2012, 6:27 pm
Inc. v. [read post]
FINRA Proposal Giving Collective Actions Exemption from Arbitration Gains SEC’s Accelerated Approval
24 Apr 2012, 11:13 am
Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change , FINRA, January 5, 2012 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, SEC, April 9, 2012 (PDF) More Blog Posts: FINRA Says Charles Schwab Corp. is Making Customers Waive Right to Pursue Class Action Lawsuits, Stockbroker Fraud Blog, February 8, 2012 Citigroup Global Markets Inc. [read post]
30 Mar 2012, 10:58 am
Citigroup Global Markets, Inc., 2012 WL 851807 (2d Cir. [read post]
28 Mar 2012, 3:00 am
Citigroup Global Markets Inc., Dkt No. 11-5227-cv-(Lead) (2d Cir. 2012), presents issues related to international practice only indirectly. [read post]
27 Mar 2012, 11:39 am
Citigroup Global Markets, Inc., 2011 W.L. 5903733 (S.D.N.Y.), Judge Jed S. [read post]
19 Mar 2012, 5:58 pm
Citigroup Global Markets, Inc., No. 11-5227-cv, slip op. 11-12 (2d Cir. [read post]
18 Mar 2012, 10:58 am
Citigroup Global Markets Inc., 2d Cir., No. 11-5227, 3/15/12). [read post]
16 Mar 2012, 10:00 am
Citigroup Global Markets Inc., No. 11-5227-cv (2d Cir., Mar. 15, 2012). [read post]
15 Mar 2012, 10:50 pm
Citigroup Global Markets, Inc. had been scheduled for July 2012. [read post]
15 Mar 2012, 10:54 am
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]
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]
3 Feb 2012, 11:43 am
Judge Jed Rakoff raised a similar concern in the SEC v. [read post]
