Violation Tracker Individual Record
Company:Citigroup Global Markets, Inc.
Date:November 9, 2010
Offense Group:financial offenses
Primary Offense:financial institution supervision failures
Citigroup agreed to pay $150,507 to resolve litigation alleging it failed to properly train employees to inform investors about the risks of auction-rate securities.
Level of Government:state
Action Type:agency action
Agency:Alaska Division of Banking and Securities
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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