Citigroup division ordered to pay fine, restitution for high-risk ...
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Securities regulators have ordered a division of Citigroup Inc. to pay $478,000 in a fine and restitution for allegedly recommending high-risk commodity futures funds to people who shouldn
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WASHINGTON -- Financial-services giant Citigroup Inc. will pay $250,000 to settle allegations it used misleading sales material on hedge funds, the National Association of Securities Dealers said yesterday.
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The NASD ordered Citigroup Inc.   to pay $1.12 million over a scheme by more than 100 brokers to  obtain mutual fund sales charge waivers by falsely claiming  their customers, including hedge funds, were disabled.
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Citigroup Inc. on Friday said US securities regulators are thinking of recommending enforcement proceedings against the former head of Citigroup Global Investment Management.
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The brokerage unit of Deutsche Bank has voluntarily agreed to pay almost $90 million in compensation to settle allegations of misconduct, US regulators announced Friday.
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NEW YORK, December 31  - According to a California court ruling, Bank of America Corp (BAC.NYS) would have to pay $284 million to customers who were charged overdraft fees on accounts containing customer social security deposits.
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Citigroup Inc., the nation's largest financial institution, reported record quarterly earnings on Thursday and said it was working to resolve outstanding legal and regulatory issues.
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In today&#39;s fines, Merrill Lynch &amp; Co. was hit with the second largest, at US$1.6 million, followed by American Express Financial Advisors, at $700,000.
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Citigroup Inc. (CN: Quote, Profile, Research) on Friday said US securities regulators may recommend enforcement proceedings against the former head of Citigroup Global Investment Management.
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Ernst &amp; Young LLP will pay $40 million to the US Federal Deposit Insurance Corp. and is finishing a settlement to pay $85 million to the Office of Thrift Supervision to settle a case involving
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A federal judge Friday approved Citigroup Inc.&#39;s $2.6 billion settlement with WorldCom Inc. investors who lost billions when an accounting scandal plunged the telecommunications company into bankruptcy protection.
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The founders of the PBHG mutual funds  agreed to pay $160 million in restitution and civil fines, and  to accept a lifetime ban from the securities industry to  resolve allegations they facilitated improper trading in the  funds, regulators said on Wednesday.
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Citigroup Inc. C.N faces a lawsuit  from angry investors who allege they were defrauded in a  "massive scheme of deception" when they bought securities tied  to the credit-worthiness of Enron Corp. ENRNQ.PK.
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The nation's largest insurance brokerage will pay $850 million in restitution to end New York Attorney General Eliot Spitzer's investigation into bid rigging and price fixing in a settlement the company hopes will end other states' probes and private lawsuits.
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Industry regulators fined Citigroup Global Markets Inc. $250,000 for disseminating inappropriate sales literature about its hedge funds.
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The New York Stock Exchange on Wednesday imposed a &#36;19 million fine on investment bank Morgan Stanley , the largest ever meted out by the exchange, for various regulatory and supervisory lapses.
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The founders of PBHG mutual funds agreed to pay &#36;160 million in restitution and civil fines and to be banned for life from the securities industry to resolve allegations they facilitated improper trading in the funds, regulators said on Wednesday.