Posts Tagged ‘goldman sachs’
FINRA fines Citigroup Global Markets, Inc. $15 million for failure to supervise brokers
The third-largest U.S. bank, Citigroup Global Markets, Inc., was fined $15 million dollars on November 20, 2014 by the Financial Industry Regulatory Authority (FINRA) for failure to supervise communications between their registered representatives and Citigroup Global Markets, Inc. customers.
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