Violation Tracker Individual Record
Company:Citigroup Global Markets Inc.
Date:May 15, 2015
Offense Group:financial offenses
Primary Offense:investor protection violation
Citigroup reached a $1.965 million settlement to resolve multistate litigation relating to the activities of sales assistants and the supervision of those sales assistants' registration status.
Level of Government:state
Action Type:agency action
Agency:Multistate Financial Regulators Case
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
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