FINRA Disciplinary Actions Online
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|Case ID||Case Summary||Document Type||Firms/ Individuals||Action Date|
|Case ID 2007009432702||Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094327-02 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets, Inc., Respondent (BD No. 7059) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets, Inc. ("CGMI" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This||Document Type AWCs (Letters of Acceptance, Waiver, and Consent)||
CITIGROUP GLOBAL MARKETS, INC.
|Action Date 05/18/2010|