Citigroup Global Markets Inc

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  FINRA Sanctions Citigroup, Wells Fargo, Morgan Stanley and UBS for ETF Violations

  By Melanie Waddell, AdvisorOne  |  May 1, 2012

  The Financial Industry Regulatory Authority (FINRA) announced Tuesday that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co.; UBS Financial Services; and Wells Fargo Advisors, a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a...

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  Private Equity Carlyle Group Going Public

  By Joyce Hanson, AdvisorOne  |  September 6, 2011

  Private equity giant The Carlyle Group filed with the SEC to launch an initial public offering of common stock a week after the firm made a minority investment in Avalon Advisors.

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  Noncompliance Roundup: Stifel, Nicolaus; Citigroup; Janney

  By Editorial Staff  |  August 18, 2011

  A roundup of recent charges, penalties and settlements--this week relating to fraud, insider trading and failure to supervise--from the SEC and FINRA.

• FINRA Fines Citigroup $500,000

  By Marlene Y. Satter, AdvisorOne  |  August 10, 2011

  FINRA announced Tuesday that it had fined Citigroup Global Markets Inc. $500,000 for failure to supervise a former registered sales assistant in its branch office in Palo Alto, Calif.

• FINRA Fines Citigroup for Supervisory Violations in Misappropriation Scheme

  By Michael S. Fischer  |  May 27, 2010

  Citigroup Global Markets Inc. will pay $1.5 million for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee, according to a May 27 announcement by FINRA.

• FINRA Sanctions Citigroup for Supervisory Violations in Misappropriation Scheme

  By Michael S. Fischer  |  May 27, 2010

  Millions were stolen from trusts of cemeteries in Michigan and Tennessee.

• More Auction-Rate Securities Woes

  By Melanie Waddell, AdvisorOne  |  August 7, 2008

  In the latest investigation of the troubled auction-rate securities market, the Securities and Exchange Commission's Division of Enforcement announced August 7 a preliminary settlement in principle with Citigroup Global Markets, Inc. (Citi) including proposed charges and a plan that would give individual investors, small businesses, and charities all $7.5 billion...

• Citi Settles with N.Y.-Cuomo (Aug. 7, 2008)

  By Janet Levaux, AdvisorOne  |  August 7, 2008

  New York Attorney General Andrew M. Cuomo has announced a multi-billion dollar agreement with Citigroup Global Markets, Inc. and Citi Smith Barney (collectively, "Citigroup") to settle allegations tha

• NEWS & PRODUCTS, JULY 2007

  By Kara P. Stapleton  |  July 1, 2007

  Wachovia announced May 31 that it will acquire A. G. Edwards and fold it into Wachovia Securities, LLC, creating what Wachovia called the "second largest...

• News & Products

  By Staff Writer  |  July 1, 2006

  The Securities and Exchange Commission announced on May 31 the institution of proceedings against 15 broker/dealer firms for engaging in violative practices in the $200...