Defendant Name: Citi Order Routing and Execution, LLC

Defendant Type: Subsidiary of Public Company

Document Reference: 2018-193

Document Details

Legal Case Name In the Matter of Citigroup Global Markets, Inc. and Citi Order Routing and Execution LLC
Document Name SEC Charges Citigroup for Dark Pool Misrepresentations; Citigroup and Affiliate Ordered to Pay More than $12 Million in Disgorgement and Penalties
Document Date 14-Sep-2018
Document Format Administrative Proceeding
File Number 3-18766
Allegation Type Broker Dealer
Document Summary "The Securities and Exchange Commission today entered an order finding that Citigroup Global Markets Inc. misled users of a dark pool operated by one of its affiliates."

Disgorgement & Penalty Information

Resolutions
Censured
Monetary Penalties:

Civil Penalty

Individual:     $1,000,000.00 Shared:    

Related Documents:

33-10545 14-Sep-2018 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

Citigroup Global Markets, Inc.