Defendant Name:
Citigroup Global Markets Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Citigroup Inc.
SIC Code:
6021
CUSIP:
17296742
Document Reference:
34-83859
Document Details
Legal Case Name
In the Matter of Citigroup Global Markets Inc. and Citigroup Inc.
Document Name
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
Document Date
16-Aug-2018
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
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."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Self Reporting to SEC
Monetary Penalties:
Civil Penalty
Individual:
Shared:
$5,750,000.00
Shared with: Citigroup Inc.
Other Defendants in Action:
