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Tag: Citigroup FINRA investigation

Blog, Securities Fraud Articles

May 29, 2012

Citigroup fined over inaccurate 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 Articles

May 4, 2012

FINRA Fines Citigroup Global Markets for Disclosure Failures

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 Articles

August 9, 2011

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 Articles

May 18, 2011

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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