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Securities arm of Citigroup; defendant in an SEC case over a 2007 fund.
Citigroup Global Markets. Securities arm of Citigroup; defendant in an SEC case over a 2007 fund.
19 Oct 2011
Citigroup Global Markets, charged by the U.S. Securities and Exchange Commission. Negligence under Sections 17(a)(2) and (3) of the Securities Act, over the Class V Funding III fund.
A charge is an accusation, not a finding of guilt.
4 Jun 2014
Citigroup Global Markets, decision overturned by the U.S. Court of Appeals for the Second Circuit. The district court’s order refusing to approve the consent judgment was vacated and the case sent back.
Citigroup Global Markets, involved in SEC v. Citigroup Global Markets.
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Pictures, from Wikimedia Commons: U.S. Securities and Exchange Commission, Don Ramey Logan, CC BY 4.0.
