Violation Tracker Individual Record
NASD imposed fines totaling $775,000 against Citigroup Global Markets, Inc., Credit Suisse Securities (USA), LLC and Morgan Stanley & Co. Incorporated for numerous violations of NASD's research analyst conflict of interest rules.
NASD fines Citigroup, Credit Suisse, Associated Press, July 17, 2006 (via Nexis).
FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).