ERC721

The Financial Industry Regulatory Authority fined Citigroup Global Markets, UBS Securities and Deutsche Bank Securities a total of $425,000 - and ordered the firms to make payments to customers that could total $420,000 - in connection with the firms' failure to adequately supervise communications with their customers in the initial public offering (IPO) of Vonage, LLC in May 2006. For more info visit https://www.finra.org/media-center/news-releases/2009/finra-fines-citigroup-global-markets-ubs-and-deutsche-bank-425000

Name

1230

Owner

0x000000000000000000000000000000000000dEaD

ID#1230

Rarity

LO:54%

Parent Company

Citigroup

X-HI:7%

Company

Citigroup Global Markets

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$425,000.00

EX:MAX

Year

2009