Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Citigroup Global Markets Inc.
Current Parent Company: Citigroup
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $1,965,000
Year: 2015
Date: May 15, 2015
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Citigroup reached a $1.965 million settlement to resolve multistate litigation relating to the activities of sales assistants and the supervision of those sales assistants' registration status.
Level of Government: state
Action Type: agency action
Agency: Multistate Financial Regulators Case
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking & securities
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.