{"id":4509,"date":"2007-10-09T16:32:55","date_gmt":"2007-10-09T16:32:55","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2007\/10\/citigroup_lehman_brothers_deut_1"},"modified":"2021-09-20T15:41:43","modified_gmt":"2021-09-20T20:41:43","slug":"citigroup-lehman-brothers-deut-1","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/citigroup-lehman-brothers-deut-1\/","title":{"rendered":"Citigroup, Lehman Brothers, DeutscheBank and other Firms Fined for Failing to Deliver Trade Confirmations."},"content":{"rendered":"

\t\t\t\tNYSE Regulation fined 14 of its member firms a total of $10.4 million in fines for failing to deliver trade confirmations to their clients and other violations. <\/p>\n

Citigroup Global Markets received the heaviest fine of $2.25 million for failing to deliver trade confirmation documents in more than a million consumer transactions. Lehman Brothers and DeutscheBank were each fined $1.25 million. <\/p>\n

Other firms sanctioned included UBS Securities; Bear Stearns & Co.; Credit Suisse Securities (USA) LLC ; Banc of America Securities LLC; Goldman Sachs & Co.; JP Morgan Securities; Wachovia Capital Markets LLC; and Keefe, Bruyette & Woods Inc. Fines levied against these firms ranged from $375,000 to $800,000. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

NYSE Regulation fined 14 of its member firms a total of $10.4 million in fines for failing to deliver trade confirmations to their clients and other violations. Citigroup Global Markets received the heaviest fine of $2.25 million for failing to deliver trade confirmation documents in more than a million consumer transactions. Lehman Brothers and DeutscheBank […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3751,3807,3820,3817,3818,3754,3797,3789,3755,3821],"tags":[],"class_list":["post-4509","post","type-post","status-publish","format-standard","hentry","category-bank-of-america","category-bear-stearns","category-citigroup","category-credit-suisse","category-deutsche-bank","category-goldman-sachs-1","category-j-p-morgan-chase","category-stockbroker-regulation","category-ubs","category-wachovia"],"yoast_head":"\nCitigroup, Lehman Brothers, DeutscheBank and other Firms Fined for Failing to Deliver Trade Confirmations. — Investor Lawyers Blog — October 9, 2007<\/title>\n<meta name=\"description\" content=\"NYSE Regulation fined 14 of its member firms a total of $10.4 million in fines for failing to deliver trade confirmations to their clients and other — October 9, 2007\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/citigroup-lehman-brothers-deut-1\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Citigroup, Lehman Brothers, DeutscheBank and other Firms Fined for Failing to Deliver Trade Confirmations. — Investor Lawyers Blog — October 9, 2007\" \/>\n<meta name=\"twitter:description\" content=\"NYSE Regulation fined 14 of its member firms a total of $10.4 million in fines for failing to deliver trade confirmations to their clients and other — October 9, 2007\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards & Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"1 minute\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Citigroup, Lehman Brothers, DeutscheBank and other Firms Fined for Failing to Deliver Trade Confirmations. — Investor Lawyers Blog — October 9, 2007","description":"NYSE Regulation fined 14 of its member firms a total of $10.4 million in fines for failing to deliver trade confirmations to their clients and other — October 9, 2007","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/citigroup-lehman-brothers-deut-1\/","twitter_card":"summary_large_image","twitter_title":"Citigroup, Lehman Brothers, DeutscheBank and other Firms Fined for Failing to Deliver Trade Confirmations. — Investor Lawyers Blog — October 9, 2007","twitter_description":"NYSE Regulation fined 14 of its member firms a total of $10.4 million in fines for failing to deliver trade confirmations to their clients and other — October 9, 2007","twitter_misc":{"Written by":"Shepherd Smith Edwards & Kantas, LLP","Est. reading time":"1 minute"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/citigroup-lehman-brothers-deut-1\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/citigroup-lehman-brothers-deut-1\/"},"author":{"name":"Shepherd Smith Edwards & Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"Citigroup, Lehman Brothers, DeutscheBank and other Firms Fined for Failing to Deliver Trade Confirmations.","datePublished":"2007-10-09T16:32:55+00:00","dateModified":"2021-09-20T20:41:43+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/citigroup-lehman-brothers-deut-1\/"},"wordCount":282,"articleSection":["Bank of America","Bear Stearns","Citigroup","Credit Suisse","Deutsche Bank","Goldman Sachs Group, Inc","J P Morgan - 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