Tag: collateralized debt obligation
Judge Questions Citigroup CDO Settlement Deal
We recently blogged about a proposed deal between Citigroup and the SEC to resolve fraud charges related to collateralized debt...
Citigroup to Pay $285 Million Settlement for Fraud Case
According to the Securities and Exchange Commission they, “charged Citigroup’s principal U.S. broker-dealer subsidiary with misleading...
APS Financial Corporation Expelled By FINRA
Financial Industry Regulatory Authority (FINRA) recently announced that it has expelled APS Financial Corporation, located in Austin,...
FINRA Fines Goldman Sachs
FINRA recently announced that it has fined Goldman, Sachs & Co. $650,000 for failing to disclose that two of its registered...
