Search Results for: Citigroup

Citibank and Citigroup Global Markets Limited to pay hundreds of thousands dollars penalty

September 26th, 2017 (0)
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Citibank, N.A. (CBNA) and Citigroup Global Markets Limited (CGML) (collectively, Citi), for failing to report Legal Entity Identifier (LEI) information for swap transactions properly ...

Citigroup Global Markets Australia pays $50,000 in infringement notice penalty

June 9th, 2017 (0)
Citigroup Global Markets Australia Pty Ltd (‘Citigroup’) has paid a penalty of $50,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (‘MDP’). The MDP had reasonable grounds to believe that Citigroup had contravened ...

Citigroup Paying $18 Million for Overbilling Clients

January 27th, 2017 (0)
The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay $18.3 million to settle charges that it overbilled investment advisory clients and misplaced client contracts. The SEC’s order finds that at least 60,000 advisory ...

Morgan Stanley, Citigroup Charged With Misleading Investors About Forex Trading Program

January 25th, 2017 (0)
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney and Citigroup Global Markets have agreed to pay more than $2.96 million apiece to settle charges that they made false and misleading statements about a foreign exchange ...

CFTC Orders Citigroup Global Markets to Pay $25 Million

January 20th, 2017 (0)
CFTC Orders Citigroup Global Markets Inc. to Pay $25 Million for Spoofing in U.S. Treasury Futures Markets and for Related Supervision Failures Five Traders at Citigroup Global Markets Inc. Placed More Than 2,500 Orders with the Intent to Cancel ...

SEC: Citigroup agreed to pay a $7 million penalty in relation with information of trades it executed

July 13th, 2016 (0)
The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay a $7 million penalty and admit wrongdoing to settle charges that a computer coding error caused the firm to provide the agency with incomplete ...

Former Citigroup CFO launches a digital investment platform for women

May 12th, 2016 (0)
Former Citigroup CFO Sallie Krawcheck launched her anticipated new startup, a digital investment platform for women called Ellevest, this morning from the TechCrunch Disrupt NY 2016 conference’s stage. Krawcheck is not your typical startup founder, which makes her entry in the investing space particularly ...

Citigroup says being investigated in Germany over dividend trades

March 23rd, 2016 (0)
Citigroup (C.N) is being investigated by German tax authorities over an equity trading strategy known as “cum-ex” or “dividend stripping,” the U.S. bank said on Tuesday. Dividend stripping involves buying a stock just before its dividend rights expire, then ...

Shareholders of J.P. Morgan and Citigroup will vote about the potential the banks break up into smaller pieces

March 17th, 2016 (0)
The proposal will be included in the banks’ proxy filings at the request of a shareholder activist Shareholders of J.P. Morgan Chase & Co. and Citigroup Inc. will get to vote later this year on one of the most ...

Wells Fargo Surpasses Citigroup

January 18th, 2016 (0)
Wells Fargo sees 6% growth in assets; Citigroup posts strong annual profit Starting the new year, most big banks are touting their regimens to slim down: Wells Fargo & Co. just keeps growing. The San Francisco-based bank surpassed Citigroup Inc. to become the ...
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