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Citigroup Global Markets Inc.

Citigroup Global Markets Inc. (CRD #7059, New York, New York) received a censure and fine of $72,500. According to the findings, the firm effected transactions in NNM Securities while a trading halt was in effect. The regulators also found that the firm failed, within 90 seconds of execution, to transmit through ACT last-sale reports of transactions in OTC Equity securities. The firm also failed to designate through ACT such last-sale reports as late. The regulators also found that the firm, a registered market maker in securities, an order was presented to the firm at the firm's published bid or published offer in an amount up to its published quotation size. The findings stated that the firm failed to execute the orders upon presentment and thereby failed to honor its published quotation. The firm accepted the fine and censure but did not admit or deny the accusations.

Did Citigroup Global Markets Inc. manage your investments?

 

 

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