SEC
Whistleblower
Attorneys

August 16, 2018

Citigroup Inc., Citigroup Global Markets Inc.

Trading and Pricing

SANCTION AMOUNT: $5750000

Defendants: Citigroup Inc., Citigroup Global Markets Inc.

The Commission found that three former traders at Citigroup's U.S. broker-dealer subsidiary had mismarked illiquid positions in certain proprietary accounts they managed, in some cases to cover losses from unauthorized trading. Respondents were charged with failure to supervise and inaccurate books and records and agreed to settle.

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