Search for: "SEC v. Citigroup Global Markets Inc" Results 41 - 60 of 72
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SEC files to appeal Judge Rakoff's rejection of Citi settlement
16 Dec 2011, 5:10 am by igorodetski
Citigroup Global Markets Inc, No. 11-07387 (S.D.N.Y). [read post]
Point of Law Forum - http://www.pointoflaw.com/
SEC Looks Likely to Win Appeal in $285M Securities Settlement that Judge Rakoff Rejected
15 Mar 2012, 10:50 pm
Citigroup Global Markets, Inc. had been scheduled for July 2012. [read post]
Institutional Investor Securities Blog - http://www.institutionalinvestorsecuritiesblog.com/
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/
Stockbroker Securities Roundup: Criminal Convictions Vacated Against Six Charged in Front Running Scam and Citigroup Broker Cleared in $1B CDO Deal SEC Case
11 Aug 2012, 1:56 pm
Another broker who was recently cleared of wrongdoing is former Citigroup Global Markets Inc. [read post]
Stock Broker Fraud Blog - http://www.stockbrokerfraudblog.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/
SEC v. Koss Corporation: The Commission Responds to Judge Randa's Questions Regarding the Whether the Proposed Settlement is Fair, Reasonable and Adequate
25 Jan 2012, 11:03 am by William McGrath
Citigroup Global Markets, Inc. [read post]
Federal Securities Law Blog - http://www.fedseclaw.com/
Stockbroker Fraud News Roundup: UBS Puerto Rico Settles SEC Action for $26M, Morgan Keegan’s Bid to Get $40K Award Over Marketing of RMK Advantage Income Fund Vacated is Denied, and SEC Settles with Attorney Involved in $1B Viaticals Scam
11 May 2012, 6:27 pm
Inc. v. [read post]
Stock Broker Fraud Blog - http://www.stockbrokerfraudblog.com/
Should a Court “Referee” a Settlement Between a Government Agency and Private Defendant? FTC v. Circa Direct
22 Jun 2012, 6:44 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/
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/
SEC Practice of Settling Enforcement Actions Without Requiring Defendants to Deny or Admit to Allegations Gets Support from Federal Judges and Democrats
26 May 2012, 7:05 pm
Citigroup Global Markets, Inc. go to trial. [read post]
Institutional Investor Securities Blog - http://www.institutionalinvestorsecuritiesblog.com/
Rapping Rakoff's Knuckles
19 Mar 2012, 5:58 pm by Barry Barnett
Citigroup Global Markets, Inc., No. 11-5227-cv, slip op. 11-12 (2d Cir. [read post]
Blawgletter - http://blawgletter.typepad.com/bbarnett/
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/
“The Result Is a Stew of Confusion and Hypocrisy Unworthy of Such a Proud Agency as the SEC”
1 Dec 2011, 4:48 pm by Eugene Volokh
Citigroup Global Markets Inc. [read post]
The Volokh Conspiracy - http://volokh.com
Largest MAT Award Rendered Against Citi
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]
Securities Fraud Attorney Blog - http://www.securitiesfraudattorneyblog.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/
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]
Stock Broker Fraud Blog - http://www.stockbrokerfraudblog.com/
Sonia Sotomayor Meets Posner: Standards of Review for Arbitration Awards After Hall Street
2 Jun 2009, 7:51 am
Mattel, Inc., 128 S. [read post]
Disputing - http://www.karlbayer.com/blog
SEC Enforcement Chief Speaks on the Future of Combating Corporate Fraud
18 Apr 2024, 9:01 pm by renholding
I’ll simply note they exist.[5] But it’s not just in the crypto markets. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
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/