SEC
Whistleblower
Advocates

August 19, 2015

Citigroup Global Markets, Inc.

Trading and Pricing

SANCTION AMOUNT: $15,000,000

Defendants: Citigroup Global Markets, Inc.

Settlement of charges that Respondent failed to enforce policies and procedures to prevent and detect securities transactions that could involve the misuse of material, nonpublic information. Respondent was also found to have failed to adopt and implement policies and procedures to prevent and detect principal transactions conducted by an affiliate.

Thank you for submitting some email to us.