Violation Tracker Individual Record
Company:Citigroup Global Markets Inc.
Date:October 26, 2012
Offense Group:financial offenses
Primary Offense:investor protection violation
CGMI agreed to pay $2 million in settlement of allegations of misconduct by Research Analysts involving disclosure of confidential nonpublic information.
Level of Government:state
Action Type:agency action
Agency:Massachusetts Securities Division
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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