
The Financial Industry Regulatory Authority fined Citigroup Global Markets, Inc. $15 Million for failing to adequately supervise communications between its equity research analysts and its clients and Citigroup sales and trading staff, and for permitting one of its analysts to participate indirectly in two road shows promoting ipos to investors. For more info visit https://www.finra.org/media-center/news-releases/2014/finra-fines-citigroup-15-million-failures-related-equity-research