| Name: | CITIGROUP GLOBAL MARKETS INC. |
| Jurisdiction: | Colorado |
| Legal type: | Foreign profit corporation |
| Status: | Good Standing |
| Date of registration: | 25 Sep 1998 (27 years ago) |
| Branch of: | CITIGROUP GLOBAL MARKETS INC., NEW YORK (Company Number 424994) |
| Entity Number: | 19981173160 |
| Place of Formation: | NEW YORK |
| Principal Address: | 388 Greenwich St New York NY 10013 US |
| Mailing Address: | PO Box 30509 Tampa FL 33630 US |
| Transaction ID | Type | Date | Effective date | Name | Comment |
|---|---|---|---|---|---|
| 20248159210 | File Report | 2024-10-29 | 2024-10-29 | No data | No data |
| 20231998505 | File Report | 2023-09-26 | 2023-09-26 | No data | Principal address changed |
| 20228089793 | File Report | 2022-11-04 | 2022-11-04 | No data | No data |
| 20218052716 | File Report | 2021-11-03 | 2021-11-03 | No data | No data |
| 20208001511 | File Report | 2020-11-19 | 2020-11-19 | No data | No data |
| 20191914234 | Statement of Change Changing the Registered Agent Information | 2019-11-20 | 2019-11-30 | No data | Registered agent name and/or address changed; Document lists all affected entities. |
| 20191901763 | File Report | 2019-11-13 | 2019-11-13 | No data | No data |
| 20181905985 | File Report | 2018-11-23 | 2018-11-23 | No data | No data |
| 20171851516 | File Report | 2017-11-15 | 2017-11-15 | No data | Change of Entity Address |
| 20161774977 | File Report | 2016-11-17 | 2016-11-17 | No data | No data |
| Docket Number | Nature of Suit | Filing Date | Disposition | |||||||||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 0701532 | Other Fraud | 2007-07-20 | motion before trial | |||||||||||||||||||||||||||||||||||||||||||||||
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| Name | CITIGROUP GLOBAL MARKETS INC. |
| Role | Plaintiff |
| Name | BROWN |
| Role | Defendant |
| Circuit | Tenth Circuit |
| Origin | original proceeding |
| Jurisdiction | federal question |
| Jury Demand | Neither plaintiff nor defendant demands jury |
| Demanded Amount | 0 |
| Termination Class Action | Missing |
| Procedural Progress | order decided |
| Nature Of Judgment | no monetary award |
| Judgement | plaintiff |
| Arbitration On Termination | Missing |
| Office | 1 |
| Filing Date | 2011-04-12 |
| Termination Date | 2011-12-22 |
| Section | 0009 |
| Status | Terminated |
Parties
| Name | HOSIER, |
| Role | Plaintiff |
| Name | CITIGROUP GLOBAL MARKETS INC. |
| Role | Defendant |
| Circuit | Tenth Circuit |
| Origin | removed (began in the state court, removed to the district court) |
| Jurisdiction | federal question |
| Jury Demand | Missing |
| Demanded Amount | > 10000$ |
| Termination Class Action | Missing |
| Procedural Progress | order entered |
| Nature Of Judgment | Missing |
| Judgement | missing |
| Arbitration On Termination | Missing |
| Office | 1 |
| Filing Date | 2004-11-03 |
| Termination Date | 2005-01-11 |
| Section | 0078 |
| Status | Terminated |
Parties
| Name | GARCIA |
| Role | Plaintiff |
| Name | CITIGROUP GLOBAL MARKETS INC. |
| Role | Defendant |
| Package ID | Category | Cause | Nature Of Suit | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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| USCOURTS-cod-1_20-cv-00946 | Judicial Publications | 15:77 Securities Fraud | Securities, Commodities, Exchange | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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| Name | Ken Babcock |
| Role | Defendant |
| Name | CITIGROUP GLOBAL MARKETS INC. |
| Role | Defendant |
| Name | Peter A. Dea |
| Role | Defendant |
| Name | Evercore Group L.L.C. |
| Role | Defendant |
| Name | Goldman Sachs & Co. LLC |
| Role | Defendant |
| Name | Houlihan Lokey Capital |
| Role | Defendant |
| Name | INTREPID PARTNERS, LLC |
| Role | Defendant |
| Name | J.P. Morgan Securities LLC |
| Role | Defendant |
| Name | William F. Kimble |
| Role | Defendant |
| Name | N. John Lancaster Jr. |
| Role | Defendant |
| Name | Liberty Oilfield Services |
| Role | Defendant |
| Name | Morgan Stanley & Co. LLC |
| Role | Defendant |
| Name | Petrie Partners Securities, LLC |
| Role | Defendant |
| Name | Piper Sandler & Co. |
| Role | Defendant |
| Name | R/C IV Liberty Holdings |
| Role | Defendant |
| Name | Jesal Shah |
| Role | Defendant |
| Name | Brett Staffieri |
| Role | Defendant |
| Name | Cary D. Steinbeck |
| Role | Defendant |
| Name | Michael Stock |
| Role | Defendant |
| Name | SunTrust Robinson Humphrey |
| Role | Defendant |
| Name | Tudor |
| Role | Defendant |
| Name | Wells Fargo Securities, LLC |
| Role | Defendant |
| Name | Christopher A. Wright |
| Role | Defendant |
| Name | Marshall Cobb |
| Role | Interested Party |
| Name | Cipriano Correa |
| Role | Plaintiff |
| Name | Marc Joseph |
| Role | Plaintiff |
| Name | R/C Energy IV Direct Partnership |
| Role | Defendant |
| Name | Paul Franke |
| Role | Movant |
Opinions
| Opinion ID | USCOURTS-cod-1_20-cv-00946-0 |
| Date | 2021-07-12 |
| Notes | ORDER granting in part and denying in part 64 Motion to Dismiss for Failure to State a Claim by Judge R. Brooke Jackson on 7/12/21.(jdyne, ) |
| View | View File |
| Opinion ID | USCOURTS-cod-1_20-cv-00946-1 |
| Date | 2022-05-17 |
| Notes | ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING FOR NOTICE. The Court hereby preliminarily approves the Settlement, as embodied in the Settlement Stipulation, subject to further consideration at a hearing (the "Settlement Hearing") pursuant to Federal Rule of Civil Procedure 23(e), which is hereby scheduled to be held in Courtroom A601 before Judge Raymond P. Moore on the sixth floor of the Alfred A. Arraj United States Courthouse located at 901 19th Street, Denver, Colorado, on October 7, 2022 at 1 p.m. By Judge Raymond P. Moore on 05/17/2022. (sdunb, ) |
| View | View File |
| Collection | United States Courts Opinions |
| SuDoc | JU 4.15 |
| Court Type | District |
| Court Name | United States District Court District of Colorado |
| Circuit | 10th |
| Office Location | Denver |
| Case Type | civil |
Parties
| Name | Barclays PLC |
| Role | Defendant |
| Name | Citigroup Inc. |
| Role | Defendant |
| Name | LOOP CAPITAL MARKETS LLC |
| Role | Defendant |
| Name | Apax Partners |
| Role | Defendant |
| Name | Baird Financial Corporation |
| Role | Defendant |
| Name | Baird Financial Group |
| Role | Defendant |
| Name | BARCLAYS BANK PLC |
| Role | Defendant |
| Name | Barclays Capital Inc. |
| Role | Defendant |
| Name | Barclays Group US Inc. |
| Role | Defendant |
| Name | Barclays US Holdings Limited |
| Role | Defendant |
| Name | Barclays US LLC |
| Role | Defendant |
| Name | BlackRock |
| Role | Defendant |
| Name | John Ellis Bush |
| Role | Defendant |
| Name | Capital One Financial Corporation |
| Role | Defendant |
| Name | Capital One Securities Inc |
| Role | Defendant |
| Name | Andrew Cavanna |
| Role | Defendant |
| Name | Citigroup Financial Products Inc. |
| Role | Defendant |
| Name | Citigroup Global Markets Holdings Inc. |
| Role | Defendant |
| Name | CITIGROUP GLOBAL MARKETS INC. |
| Role | Defendant |
| Name | Caroline Dechert |
| Role | Defendant |
| Name | Goldman Sachs & Co LLC |
| Role | Defendant |
| Name | Barbara Gutierrez |
| Role | Defendant |
| Name | Innovage Holding Corp |
| Role | Defendant |
| Name | J.P. Morgan Securities LLC |
| Role | Defendant |
| Name | JP Morgan Chase & Co. |
| Role | Defendant |
| Name | Edward Kennedy |
| Role | Defendant |
| Name | Loop Capital Holdings LLC |
| Role | Defendant |
| Name | Loop Capital LLC |
| Role | Defendant |
| Name | Pavithra Mahesh |
| Role | Defendant |
| Name | Piper Sandler & Co. |
| Role | Defendant |
| Name | Piper Sandler Companies |
| Role | Defendant |
| Name | ROBERT W. BAIRD & CO., INCORPORATED |
| Role | Defendant |
| Name | Roberts & Ryan Investments Inc |
| Role | Defendant |
| Name | Thomas Scully |
| Role | Defendant |
| Name | Shank Williams Cisneros |
| Role | Defendant |
| Name | Siebert Williams Shank & Co., LLC |
| Role | Defendant |
| Name | Marilyn Tavenner |
| Role | Defendant |
| Name | The Goldman Sachs Group |
| Role | Defendant |
| Name | Sean Traynor |
| Role | Defendant |
| Name | WBC Holdings LLC |
| Role | Defendant |
| Name | Welsh |
| Role | Defendant |
| Name | William Blair & Company LLC |
| Role | Defendant |
| Name | Richard Zoretic |
| Role | Defendant |
| Name | Alameda County Employees Retirement Association |
| Role | Movant |
| Name | Oklahoma Municipal Retirement Fund |
| Role | Movant |
| Name | Siddharth Raisoni |
| Role | Movant |
| Name | Texas and Indiana Pension Funds |
| Role | Movant |
| Name | El Paso Firemen & Policemen's Pension Fund |
| Role | Plaintiff |
| Name | Indiana Public Retirement System |
| Role | Plaintiff |
| Name | San Antonio Fire & Police Pension Fund |
| Role | Plaintiff |
| Name | Maureen Hewitt |
| Role | Defendant |
| Name | Vanguard Group |
| Role | Defendant |
| Name | Randy McLeod |
| Role | Plaintiff |
Opinions
| Opinion ID | USCOURTS-cod-1_21-cv-02770-0 |
| Date | 2023-12-21 |
| Notes | ORDER GRANTING IN PART AND DENYING IN PART DEFENDANTS' JOINT MOTION TO DISMISS AMENDED CLASS ACTION COMPLAINT. The Court ORDERS as follows: 1. Defendants' Joint Motion and Brief to Dismiss Amended Class Action Complaint for Violations of the Federal Securities Laws (ECF No. 73) is GRANTED IN PART AND DENIED IN PART as more fully set forth in this Order; 2. All claims dismissed by this Order are DISMISSED WITHOUT PREJUDICE; and 3. The parties are DIRECTED to jointly contact United States Magistrate Judge S. Kato Crewss chambers by no later than December 27, 2023 to set a Scheduling Conference or such other proceeding as Judge Crews deems appropriate to move this action forward. SO ORDERED by Judge William J. Martinez on 12/21/2023. (jrobe, ) |
| View | View File |
| Opinion ID | USCOURTS-cod-1_21-cv-02770-1 |
| Date | 2024-01-18 |
| Notes | ORDER granting in part and denying in part 75 Underwriter Defendants' Motion to Dismiss Amended Class Action Complaint. By Judge William J. Martinez on 1/18/2024.(schap, ) |
| View | View File |
Date of last update: 14 Apr 2025
Sources: Colorado's Secretary of State
