All Citigroup Global Markets articles
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News BriefCiti affiliates fined $2M in SEC Reg BI case
Citigroup Global Markets and Citi International Financial Services agreed to pay a total of nearly $2 million as part of a settlement with the Securities and Exchange Commission resolving allegations they violated the disclosure obligations of Regulation Best Interest.
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News BriefCitigroup unit to pay $8.3M in FINRA partial tender offer case
A broker-dealer affiliate of Citi agreed to pay nearly $8.3 million as part of a settlement with the Financial Industry Regulatory Authority addressing allegations the firm overtendered shares in partial tender offers and received millions in ill-gotten gains.
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News BriefFINRA fines Citigroup unit $250K over trade designations
Citigroup Global Markets was fined $250,000 by the Financial Industry Regulatory Authority regarding inaccurate trade confirmations to customers.
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News BriefSEC fines Citigroup unit $2.9M for underwriting record failures
The Securities and Exchange Commission fined Citigroup Global Markets $2.9 million as part of a settlement addressing alleged recordkeeping failures concerning underwriting expenses that occurred for at least a decade.
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ArticleCitigroup broker-dealer fined $15M for inadequate U.K. trade monitoring
Citigroup Global Markets was fined £12.6 million (U.S. $14.9 million) by the U.K.’s Financial Conduct Authority for failing to implement an adequate trade surveillance program required by British law.
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ArticleCitibank affiliates fined $4.5M for deleting subpoenaed audio files
Three Citibank affiliates have been collectively ordered to pay $4.5 million to settle CFTC charges regarding supervision failures that led to the deletion of subpoenaed audio files.
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Blog
FINRA sanctions Citigroup Global Markets $11.5M for inaccurate research ratings
The Financial Industry Regulatory Authority has fined Citigroup Global Markets $5.5 million and required the firm to pay at least $6 million in compensation to retail customers for displaying inaccurate research ratings for numerous equity securities during a nearly five-year period, and for related supervisory violations.