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Violation Tracker Individual Record

Company: Citigroup Global Markets, Inc.
Current Parent Company: Citigroup
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $692,000
Year: 2010
Date: October 26, 2010
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: Citigroup agreed to pay a $400,000 penalty, $142,000 in restitution and $175,000 costs in settlement of allegations it failed to supervise one of its representatives who had been charged with taking part in a scheme to steal money from cemetery trust funds.
Level of Government: state
Action Type: agency action
Agency: Indiana Securities Division
Civil or Criminal Case: civil
Case ID: 10-0477 CA
Facility State: Indiana
HQ Country of Current Parent: USA
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)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.