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https://www.sec.gov/litigation/complaints/2010/comp21605.pdf
Defendant Citigroup is a Delaware corporation with its principal place of business in New York, New York. Citigroup is a global financial services company that provides a broad range offinancial services to consumer and corporate clients. During the time relevant to this Complaint, the company was organized into the following five
https://www.sec.gov/divisions/enforce/claims/citigroup.htm
On July 29, 2010, the Commission filed a complaint against Citigroup Inc. ("Citigroup" or "Defendant"). The complaint alleged that, from as early as April 2007 through November 2007, the Defendant repeatedly made misleading statements about the extent of its holdings of assets backed by sub-prime mortgages in earnings calls and public filings.
https://www.sec.gov/divisions/enforce/claims/citigroup-global.htm
On October 19, 2011, the Commission filed a complaint against Citigroup Global Markets Inc. ("Citigroup"), the principal U.S. broker-dealer subsidiary of Citigroup Inc. (the “CGMI Action”).
https://www.sec.gov/litigation/complaints/comp18111.htm
Citigroup Global Markets Inc., formerly known as Salomon Smith Barney Inc., is a New York corporation with its headquarters and principal executive offices in New York, New York. It is a wholly owned subsidiary of Citigroup Inc. Citigroup Global Markets Inc. engages, and its predecessor firms engaged, in a full service securities business, including retail and institutional sales, investment …
https://www.sec.gov/litigation/complaints/2011/comp-pr2011-214.pdf
("Citigroup Global Markets"): 1. The Commission brings this securities fraud action against Citigroup Global Markets (along with certain affiliates, "Citigroup"), based on its role in the structuring and marketing of a largely synthetic collateralized debt obligation ("CDO") called …
https://www.sec.gov/news/press/2010/2010-136.htm
Jul 29, 2010 · According to the SEC's complaint, filed in U.S. District Court for the District of Columbia, Citigroup represented in earnings calls and public filings from July 20 to Oct. 15, 2007, that its investment bank's subprime exposure was $13 billion or less and had declined over the course of 2007.
https://www.sec.gov/litigation/complaints/2008/comp20824-citi.pdf
Citigroup Global Markets Inc.,a wholly-owned brokerage and securities. subsidiary of Citigrouphc.,is incorporatedand has its headquarters, principal executive. offices, and short-term tradmg desk in New York, New York. Citigroup Global Markets is registered with the Commission as a brokerdealer.
http://www.citigroupfairfund.com/docs/Potentially_Eligible_New%20Claimants.pdf
On July 29, 2010, the SEC filed a complaint (“Complaint”) alleging that violated Section 17(a)(2) of the the Defendant Securities Act of 1933 (“Securities Act”), Section 13(a) of the Securities Exchange Act of 1934 (“Exchange Act”), and Exchange Act Rules 20 and 13a12b- 11.
http://www.citigroupfairfund.com/
Background On July 29, 2010, the SEC filed a complaint (“Complaint”) alleging that the Defendant violated Section 17(a)(2) of the Securities Act of 1933 (“Securities Act”), Section 13(a) of the Securities Exchange Act of 1934 (“Exchange Act”), and Exchange Act Rules 12b-20 and 13a-11.
https://www.citigroup.com/citi/investor/sec.htm
SEC Filings. Citigroup Inc. 07/17/09 - Final Prospectus for Preferred Securities Exchange Offer (announced Feb 27, 2009) Click to access the SEC Website for all filings by Citigroup Inc. Section 16 Disclosures Click to access Section 16 Insider Holdings Disclosures by …
https://harvardlawreview.org/2015/02/sec-v-citigroup-global-markets-inc/
Feb 10, 2015 · The SEC also filed a parallel complaint against Citigroup employee Brian Stoker for his role in structuring and marketing the fund. Id . at 329–30. Citigroup marketed the fund’s assets as sound investments selected by an independent adviser, but, according to the complaint, the firm packed the portfolio with dubious assets and then shorted the securities it had helped select. 6 × 6.
http://www.citigroupfairfund.com/docs/Citigroup_Fair_Fund_Distribution_Plan.pdf
Complaint, SEC v. Citigroup Inc., 10-cv-1277 (D.D.C. 2010). On the same day the Commission filed this action against Citigroup, it instituted administrative proceedings against Citigroup’s former Chief Financial Officer, Gary Crittenden, and Citigroup’s former head of Investor Relations, Arthur Tildesley, for their roles in causing Citigroup
http://www.citigroupfairfund.com/docs/Deficient_Claimants.pdf
On July 29, 2010, the SEC filed a complaint (“Complaint”) alleging that violated Section 17(a)(2) of the the Defendant Securities Act of 1933 (“Securities Act”), Section 13(a) of the Securities Exchange Act of 1934 (“Exchange Act”), and Exchange Act Rules 12b20 and 13a- 11.
https://www.nytimes.com/2011/10/20/business/citigroup-to-pay-285-million-to-settle-sec-charges.html
Oct 20, 2011 · Citigroup on Wednesday agreed to pay $285 million to settle a civil complaint by the Securities and Exchange Commission that it had defrauded investors who bought just such a deal.
https://www.secactions.com/sec-%e2%80%93-citigroup-settlement-is-rejected-by-the-court/
Nov 28, 2011 · sec – citigroup settlement is rejected by the court T. Gorman Posted on November 28, 2011 Posted in SECActions “But the S.E.C., of all agencies, has a duty, inherent in its statutory mission, to see that the truth emerges; and if it fails to do so, the Court must not, in the name of deference or convenience, grant judicial enforcement to the agency’s contrivances.”
https://www.marketwatch.com/story/citigroup-to-pay-75-million-in-sec-settlement-2010-07-29-142000
Jul 29, 2010 · According to the SEC's complaint, Citigroup said in earnings calls and public filings between July and October 2007 that it had subprime mortgage …
http://www.citicdofairfund.com/
The United States Securities and Exchange Commission (“SEC”) filed a complaint in the U.S. District Court for the Southern District of New York (the “Court”) against Citigroup Global Markets Inc. (“CGM”) alleging that it violated the antifraud provisions of the Securities Act of 1933 (Sections 17(a) (2) and (3)), by, among other things, making misrepresentations and omissions of material facts regarding the …
https://www.law.du.edu/documents/corporate-governance/securities-matters/SEC-v-Citigroup-11-28-11.pdf
According to the S.E.C.'s Complaint, after Citigroup realized in - I . 2007 that the market for mortgage backed securities was beginning to weaken, tigroup created a billion-dollar Fund (known ... of the Securities Act, (II) required Citigroup to disgorge to the S.E.C. Citigroup's $160 …
http://www.citibank.com/poland/corporate/english/custody-complaints.htm
When submitting a complaint in writing, the Client should provide data necessary to identify the entity: full name, account number, settlement date (date of execution), which complaint concerns, detailed description of the basis for the complaint and claims. It is recommended to address the compliant to Custody Division.
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