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Tag: Citigroup fraud

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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Blog, Securities Fraud

Former Smith Barney Financial Advisor Sanjeev Jayant Kumar Shah Pleads Guilty To Securities Fraud

A former Smith Barney financial adviser in New York has plead guilty to attempting to defraud a client of more than $3 million. According...

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