Violation Tracker Individual Record
Company:Citigroup Global Markets Inc.
Date:September 14, 2018
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
The SEC entered an order finding that Citigroup Global Markets Inc. misled users of a dark pool operated by one of its affiliates.
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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