Violation Tracker

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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Citigroup
Ownership Structure: publicly traded (ticker symbol NYSE: C)
Headquartered in: New York
Major Industry: financial services
Specific Industry: banking & securities
Penalty total since 2000: $26,945,611,792
Number of records: 181

Top 5 Offense Groups (Groups Defined)	Penalty Total	Number of Records
financial offenses	$19,742,743,935	103
consumer-protection-related offenses	$4,383,536,460	40
competition-related offenses	$2,684,841,666	17
employment-related offenses	$125,465,984	12
miscellaneous offenses	$9,000,000	5

Top 5 Primary Offense Types	Penalty Total	Number of Records
toxic securities abuses	$8,772,892,857	10
investor protection violation	$8,382,120,730	68
price-fixing or anti-competitive practices	$2,684,781,666	16
mortgage abuses	$2,360,975,000	4
banking violation	$2,234,543,378	13

Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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Company	Primary Offense Type	Year	Agency	Penalty Amount
Citigroup Global Markets Inc.	investor protection violation	2015	MULTI-FIN	$1,965,000
Citigroup Global Markets Inc.	investor protection violation	2019	FINRA	$280,000
Citigroup Global Markets Inc.	investor protection violation	2019	FINRA	$1,250,000
Citigroup Global Markets Inc.	investor protection violation	2017	FINRA	$11,500,000
Citigroup Global Markets Inc.	investor protection violation	2017	FINRA	$1,000,000
Citigroup Global Markets Inc.	investor protection violation	2014	FINRA	$5,000,000
Citigroup Global Markets Inc.	investor protection violation	2014	FINRA	$2,488,000
Citigroup Global Markets Inc.	investor protection violation	2014	FINRA	$1,097,000
Citigroup Global Markets Inc.	investor protection violation	2010	FINRA	$1,500,000
Citigroup Global Markets Inc.	investor protection violation	2009	FINRA	$600,000
Citigroup Global Markets Inc.	investor protection violation	2006	FINRA	$1,115,000
Citigroup Global Markets Inc.	investor protection violation	2005	FINRA	$60,000
Citigroup Global Markets Inc.	investor protection violation	2004	FINRA	$5,000,000
Citigroup Global Markets Inc.	toxic securities abuses	2021	NM-AG	$4,642,857
Citigroup Global Markets Inc.	investor protection violation	2022	SEC	$125,000,000
Citigroup Global Markets Inc.	price-fixing or anti-competitive practices	2020	private lawsuit-federal	$20,833,333
Citigroup Global Markets Inc.	consumer protection violation	2015	private lawsuit-federal	$78,333,333
Citigroup Global Markets Inc.	consumer protection violation	2015	private lawsuit-federal	$10,571,428
Citigroup Global Markets Inc.	investor protection violation	2023	SEC	$2,900,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC	investor protection violation	2015	SEC	$180,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.	investor protection violation	2003	SEC	$400,000,000
Citigroup Global Markets, Inc	investor protection violation	2012	FINRA	$2,741,489
Citigroup Global Markets, Inc.	investor protection violation	2006	SEC	$1,500,000
Citigroup Global Markets, Inc.	investor protection violation	2005	SEC	$20,000,000
Citigroup Global Markets, Inc.	investor protection violation	2007	SEC	$200,000
Citigroup Global Markets, Inc.	consumer protection violation	2014	NY-AG	$16,000,000
Citigroup Global Markets, Inc.	consumer protection violation	2015	NY-AG	$4,500,000
Citigroup Global Markets, Inc.	investor protection violation	2017	NY-AG	$23,500,000
Citigroup Global Markets, Inc.	investor protection violation	2010	AK-DBS	$150,507
Citigroup Global Markets, Inc.	investor protection violation	2015	AK-DBS	$35,000
Citigroup Global Markets, Inc.	investor protection violation	2010	IN-SEC	$692,000
Citigroup Global Markets, Inc.	investor protection violation	2010	MO-SEC	$277,500
Citigroup Global Markets, Inc.	investor protection violation	2014	FINRA	$15,000,000
Citigroup Global Markets, Inc.	investor protection violation	2012	FINRA	$3,500,000
Citigroup Global Markets, Inc.	investor protection violation	2012	FINRA	$725,000
Citigroup Global Markets, Inc.	investor protection violation	2011	FINRA	$500,000
Citigroup Global Markets, Inc.	investor protection violation	2010	FINRA	$650,000
Citigroup Global Markets, Inc.	investor protection violation	2008	FINRA	$300,000
Citigroup Global Markets, Inc.	investor protection violation	2007	FINRA	$15,200,000
Citigroup Global Markets, Inc.	investor protection violation	2006	FINRA	$350,000
Citigroup Global Markets, Inc.	investor protection violation	2005	FINRA	$6,250,000
Citigroup Global Markets, Inc.	investor protection violation	2004	FINRA	$275,000
Citigroup Global Markets, Inc.	investor protection violation	2004	FINRA	$250,000
Citigroup Global Markets, Inc.	investor protection violation	2004	FINRA	$250,000
Citigroup Global Markets, Inc.	investor protection violation	2023	SEC	$1,975,000
Citigroup Global Markets, Inc. and Citi Smith Barney	investor protection violation	2008	MULTI-AG	$7,100,000,000
CITIGROUP INC.	banking violation	2015	FED	$342,000,000
Citigroup Inc.	banking violation	2012	FED	$22,000,000
Citigroup Inc.	toxic securities abuses	2014	DOJ	$7,000,000,000
Citigroup Inc.	mortgage abuses	2012	DOJ	$2,202,000,000
Citigroup Inc.	toxic securities abuses	2010	SEC	$75,000,000
Citigroup Inc.	banking violation	2004	FED	$70,000,000
Citigroup Inc.	consumer protection violation	2002	FTC	$215,000,000
Citigroup Inc.	benefit plan administrator violation	2014	private lawsuit-federal	$8,500,000
Citigroup Inc.	toxic securities abuses	2014	MULTI-AG	(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $291,750,000
Citigroup Inc.	economic sanction violation	2014	OFAC	$217,841
Citigroup Inc.	price-fixing or anti-competitive practices	2016	private lawsuit-federal	$23,000,000
Citigroup Inc.	price-fixing or anti-competitive practices	2018	private lawsuit-federal	$402,000,000
Citigroup Inc.	price-fixing or anti-competitive practices	2018	private lawsuit-federal	$42,000,000
Citigroup Inc.	price-fixing or anti-competitive practices	2020	private lawsuit-federal	$9,950,000
Citigroup Inc.	consumer protection violation	2016	private lawsuit-federal	$13,500,000
Citigroup Mortgage Loan Trust Inc.	consumer protection violation	2012	private lawsuit-federal	$24,975,000
Citigroup Private Bank GP, Inc.	data submission deficiencies	2009	CFTC	$100,000
Citigroup Technology Inc	wage and hour violation	2016	WHD	$1,967,689
Citigroup, Inc.	investor protection violation	2005	SEC	$208,000,000
Citigroup, Inc.	accounting fraud or deficiencies	2003	SEC	$101,000,000
Citigroup, Inc.	accounting fraud or deficiencies	2003	SEC	$19,000,000
Citigroup, Inc.	benefit plan administrator violation	2019	private lawsuit-federal	$6,900,000
Citigroup, Inc.	accounting fraud or deficiencies	2003	NY-MANDA	$25,000,000
Citigroup, N. A.	economic sanction violation	2008	OFAC	$16,250
CitigroupInc.	price-fixing or anti-competitive practices	2016	private lawsuit-federal	$155,333,333
Citimortgage Inc.	mortgage abuses	2012	USAO	$158,300,000
Citimortgage Inc.	consumer protection violation	2015	private lawsuit-federal	$2,200,000
Citimortgage Inc. and Citibank N.A.	toxic securities abuses	2013	FHFA	$395,000,000
CitiMortgage, Inc.	consumer protection violation	2006	HUD	$650,000
CitiMortgage, Inc.	consumer protection violation	2014	AR-SEC	$20,000
CitiMortgage, Inc.	consumer protection violation	2019	CA-DFPI	$7,800,000
CITIMORTGAGE, INC.	workplace safety or health violation	2007	OSHA	$5,097
LAVA TRADING INC.	benefit plan administrator violation	2006	EBSA	$50,001
LavaFlow Inc.	investor protection violation	2014	SEC	$5,000,000
The BISYS Group	accounting fraud or deficiencies	2007	SEC	$25,000,000