2021070664101 Citigroup Global Markets Inc. CRD 7059 AWC lp (2024-1730938800691).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070664101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Citigroup Global Markets Inc. (Respondent)
Member Firm
CRD No. 7059
Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2024082109701 Jeffrey Arthur Perryman CRD 2019969 AWC lp (2024-1730938807241).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024082109701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jeffrey Arthur Perryman (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 2019969
Pursuant to FINRA Rule 9216, Respondent Jeffrey Arthur Perryman submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
SR-FINRA-2024-016
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.