FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
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) Firms/ Individuals
Action Date 05/18/2010