Violation Tracker Individual Record
: Citigroup Global Markets, Inc.
Current Parent Company
Parent at the Time of the Penalty AnnouncementPenalty
to see this data field
: November 24, 2014
: financial offenses
: investor protection violation
: financial institution supervision failures
: The Financial Industry Regulatory Authority fined Citigroup Global Markets, Inc. $15 million for failing to adequately supervise communications between its equity research analysts and its clients and Citigroup sales and trading staff, and for permitting one of its analysts to participate indirectly in two road shows promoting IPOs to investors.
Level of Government
: agency action
: Financial Industry Regulatory Authority
Civil or Criminal Case
HQ Country of Current Parent
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)
: FINRA is a securities industry self-regulatory body authorized by the federal government.
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Current parent company note
: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log