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Citigroup Global Markets, Inc.

Citigroup Global Markets, Inc. (CRD #7059, New York, New York) received a censure and fine of $250,000. According to the findings, the firm made available to its customers fact cards, sales presentations, sales decks and prospecting letters regarding hedge funds and funds of hedge funds that listed a targeted rate of return without providing a sound basis for evaluating the target, improperly used hypothetical returns in charts or graphs, and/or failed to include adequate risk disclosure. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CAF040077)

Did Citigroup Global Markets, Inc. manage your investments?



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