Citi fine, featured, FINRA, NMS
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Citigroup Capital Markets has agreed to pay a fine of $100,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
The CFTC fines Citi $1 million for swap data reporting violations, related supervision failures, and violation of a prior CFTC order.
Citi, Citi fine, Citigroup Global Market, CME, CME block trades
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On 8 occasions in June 2021, Citigroup Global Markets did not report block trades in a timely manner or with an accurate execution time to CME.
Citi, Citi fine, Citigroup Global Markets
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Citigroup Global Markets has agreed to pay a fine for failure to monitor employees’ outside brokerage accounts.
