Articles Tagged with Citigroup Global Markets Inc.

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Citigroup Global Markets Inc. and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) over allegations that it omitted required disclosures in equity research reports. As part of the AWC, Citigroup Global Markets Inc. agreed to pay a $475,000 fine and was censured by FINRA. The firm also agreed to submit a written certification that it completed a review of its supervisory systems and written procedures related to disclosures in research reports and certify that the firm’s supervisory systems and written procedures are reasonably designed to achieve compliance with applicable FINRA rules, securities laws, and regulations.

Citigroup Global Markets Inc. is a FINRA member headquartered in New York. It employs nearly 7,000 registered representatives and has 736 branch offices. The firm provides brokerage, securities trading, advisory, investment banking, and other financial services to customers. 

If you have lost money with Citigroup Global Markets Inc., contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

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