Citigroup/Smith Barney Archives - Page 2 of 2

Rex Securities Law
March 9, 2016
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Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for Fraud

Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for Fraud https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 9, 2016 April 1, 2016

March 8, 2016- Greenville, South Carolina The United States Attorney’s Office for District of South Carolina announced that Claus C. Foerster, 55, of Spartanburg, South Carolina was indicted by a…

Rex Securities Law
August 20, 2015
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Texas Securities Commissioner John Morgan Fines Citigroup Global Markets $35,000

Texas Securities Commissioner John Morgan Fines Citigroup Global Markets $35,000 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 20, 2015 February 11, 2016

August 18, 2015-Austin, Texas John Morgan, Texas Securities Commissioner entered a Consent Order finding that Citigroup Global Markets, Inc. failed to monitor the registration status of sales assistants, some of…