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By Press Release |
October 19, 2011
The SEC charged Citigroup’s principal U.S. broker-dealer subsidiary with misleading investors about a $1 billion CDO tied to the U.S. housing market in which Citigroup bet against investors as the housing market showed signs of distress
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By Press Release |
October 6, 2011
The SEC says scheme promised investors rich returns on water-filtering natural stone pavers, but bilked them of approximately $26 million over a four-year period.
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By Press Release |
August 8, 2011
The CFTC says Otmane El Rhazi engaged in numerous noncompetitive and fictitious futures trades to steal money from a Citibank proprietary account.
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By Press Release |
August 5, 2011
The defendants allegedly misappropriated more than $2.1 million in commodity pool scheme; federal court freezes defendants’ assets.
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By Press Release |
July 28, 2011
Federal court issues order freezing defendants’ assets and prohibiting destruction of books and records.
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By Press Release |
June 21, 2011
J.P. Morgan to pay $153.6 million to settle SEC Charges of misleading investors in CDO tied to U.S. housing market. Harmed investors getting their money back, firm to pay penalty and change practices
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By Press Release |
June 6, 2011
“Eric Lipkin helped create the detailed and entirely phony trading and business records that contributed to the success of Madoff’s fraud,” the SEC said.
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By Press Release |
May 26, 2011
The SEC says Donald L. Johnson stoke confidential information while working in a market intelligence unit.
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By Press Release |
April 18, 2011
CFTC charges Citigroup trader Otmane El Rhazi, a Moroccan national, with unlawful trading and misappropriation from a Citibank proprietary account
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By Press Release |
April 12, 2011
Federal court orders trader to pay $615,000 in disgorgement and a civil monetary penalty for non-competitive trading at his employer’s expense.
