CME Group fines Citigroup Global Markets for alleged CBOT rule violation
International derivatives marketplace CME Group has posted a notice of disciplinary action against Citigroup Global Markets Inc.
CGMI
Citigroup Global Markets to pay $2.5M fine for Short Tender Rule violations
Citigroup Global Markets Inc. has agreed to pay a fine of $2.5 million as a part of a settlement with FINRA.
Citigroup Global Markets to pay $250,000 fine for alleged FINRA rule violations
Citigroup Global Markets has agreed to pay a fine of $250,000 as a part of a settlement with FINRA.
Citigroup Global Markets agrees to pay $2.9M to SEC for alleged recordkeeping failures
The Securities and Exchange Commission has announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc.
Citigroup Global Markets gets $475k fine for problems related to equity research reports
From November 2012 to November 2017, Citigroup Global Markets omitted about 24,800 required disclosures in 16,850 equity research reports.
