Violation Tracker Individual Record
Date:November 7, 2018
Primary Offense:securities issuance or trading violation
Citibank N.A. agreed to pay $38.7 million to settle charges of improper handling of pre-released American Depositary Receipts.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:New York
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking & securities
Source of Data:
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