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Citigroup Global Markets, Inc.,

Citigroup Global Markets, Inc., (CRD #7059, New York, NY) received a censure and fine of $50,000. According to the findings, the firm ran a national advertising campaign regarding certain mutual funds that emphasized the more recent favorable performance and de-emphasized the negative one-year performance of the funds in a manner that was unbalanced. The regulators also found that the firm failed to file with NASD advertising and sales literature concerning registered investment companies. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CE3050006)

Did Citigroup Global Markets, Inc., manage your investments?



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