Tagged with "Citigroup"

Why Citi’s robo is ‘late to the game’

Posted on January 31st, 2020 at 3:00 PM
Why Citi’s robo is ‘late to the game’

Citigroup is the latest financial services firm to offer a digital advice platform designed to draw retail banking clients into lucrative wealth management relationships. However, the investment bank is behind competitors and the offering is priced well above the most attractive price points from competing firms.

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The 10 Biggest Brokerage Industry Regulatory Fines in 2014

Posted on January 16th, 2015 at 9:47 AM

FINRA handed out some hefty fines to financial firms in 2014. Click to see 10 of the biggest fines handed out this year, presented in order of the amount of the fine.

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10 Firms Fined for Allowing Equity Analysts to Solicit IB Business

Posted on December 30th, 2014 at 9:56 AM
10 Firms Fined for Allowing Equity Analysts to Solicit IB Business

FINRA has fined 10 firms a total of $43.5 million for allowing their equity research analysts to solicit investment banking business and for offering favorable research coverage in connection with the 2010 planned initial public offering of Toys R Us. 

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Citigroup Fined for Compliance Issue

Posted on November 28th, 2014 at 10:12 AM
Citigroup Fined for Compliance Issue

FINRA fined Citigroup $15 million for failing to supervise research analysts and their handling of material non-public information.

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LATEST NEWS AND ARTICLES

November 28, 2023
Arbitration Mandated for Former Morgan Stanley Advisors' Class Claim on Deferred Compensation

A federal judge in Manhattan has granted Morgan Stanley’s request to transfer a potential class action lawsuit to arbitration.

November 28, 2023
Wells Fargo Under SEC Scrutiny for Cash Sweep Programs

The Securities and Exchange Commission (SEC) is investigating Wells Fargo & Company over cash sweep options provided to investment advisory clients.

November 22, 2023
FINRA Alleges $2 Million in Client Losses and $2 Million in Commissions Due to Advisor's Churning

According to a Financial Industry Regulatory Authority (FINRA) complaint, Stewart "Paxton" Ginn excessively traded accounts over two and a half years, resulting in $2.22 million in losses and $2.24 million in commissions for him and his firm.