Violation Tracker Individual Record
Date:July 25, 2014
Primary Offense:investor protection violation
A Citigroup business unit operating an alternative trading system agreed to pay $5 million to settle allegations that it failed to protect the confidential trading data of its subscribers.
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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