ERC721

NASD fined Citigroup Global Markets Inc. $400,000 For supervisory and recordkeeping violations in connection with a ploy by more than 100 of its brokers to improperly obtain waivers of mutual fund sales charges by falsely claiming that their customers were disabled. The firm was also ordered to pay $715,000 in restitution to the affected mutual fund entities.

Name

140

Owner

0x78f0269f5b1Ca914c8c58993f41181f89e212B27

ID#140

Rarity

LO:56%

Parent Company

Citigroup

X-HI:7%

Company

Citigroup Global Markets Inc.

EX:1%

Violation

Financial Market Violations

X-HI:14%

Penalty

$1,115,000.00

EX:MAX

Year

2006