Violation Tracker Individual Record
: Citigroup Global Markets, Inc.
Current Parent Company
Parent at the Time of the Penalty AnnouncementPenalty
to see this data field
: July 19, 2004
: financial offenses
: investor protection violation
: NASD announced today that it has censured and fined Citigroup Global Markets, Inc. (formerly Salomon Smith Barney); Merrill Lynch, Pierce, Fenner & Smith Incorporated; and Morgan Stanley DW Inc. $250,000 each for failing to comply with their discovery obligations in 20 arbitration cases during the period 2002 through 2004.
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. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).
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Current parent company note
: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log