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Citicorp Investment Services

Citicorp Investment Services (CRD #23988, Long Island City, New York) received a censure and fine of $25,000. According to the regulators, the firm failed to file Uniform Termination Notices for Securities Industry Registration (Forms U-5) within 30 days of termination of the associated persons. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CLI020011)

Did Citicorp Investment Services manage your investments?



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