Defendant Name: Citigroup Inc.

Defendant Type: Public Company
SIC Code: 6021
CUSIP: 17296742

Initial Case Details

Legal Case Name In the Matter of Citigroup Global Markets Inc. and Citigroup Inc.
First Document Date 16-Aug-2018
Initial Filing Format Administrative Action
File Number 3-18647
Allegation Type Broker Dealer

Violations Alleged

Exchange Act
• Sec 13(b)(2)(A)

Resolutions

First Resolution Date 16-Aug-2018
Headline Total Penalty and Disgorgement $5,750,000

Related Documents:

34-83859 16-Aug-2018 Administrative Proceeding
Order Instituting Administrative And Cease-And-Desist Proceedings Pursuant To Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
According to the Commission: "This matter involves CGMI's failure reasonably to supervise its traders with a view towards preventing mismarking and unauthorized trading in Citi proprietary accounts that ultimately caused CGMI's books and records, and those of its parent, Citigroup, to be inaccurate."

Other Defendants in Action:

Citigroup Global Markets, Inc.

Related Actions:

In the Matter of Mahesh Agarwal
Mahesh Agarwal