Violation Tracker Individual Record

Company: 
Citigroup Global Markets
Current Parent Company: 
Citigroup
Penalty: 
$15,000,000
Year: 
2015
Date: 
August 19, 2015
Primary Offense: 
investor protection violation
Violation Description: 

The Securities and Exchange Commission announced that Citigroup Global Markets agreed to settle charges that it failed to enforce policies and procedures to prevent and detect securities transactions that could involve the misuse of material, nonpublic information.

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 Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.