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Tag: Citigroup FINRA investigation

Blog, Securities Fraud

Citigroup fined over inaccurate mortgage performance information.

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $3.5 million for...

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Blog, Securities Fraud

FINRA Fines Citigroup Global Markets for Failure to Disclose Conflicts of Interest in Research Reports

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $725,000 for...

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Blog, Securities Fraud

Citigroup fined by FINRA for failure to supervise a sales assistant

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $500,000 for...

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Blog, Securities Fraud

Citigroup Global Markets Inc. fined by FINRA

Citigroup Global Markets Inc. (CRD #7059, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...

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