Who is citigroup global markets inc

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Company Information Name:. Trading Name:. It is currently the third largest bank holding company in the United States by assets. Citigroup has a financial services network spanning countries with approximately 16, offices worldwide. Commonwealth of Massachusetts Securities Division v. Citigroup Global Markets Inc. According to the settlement, a Citigroup analyst in Taiwan offered research pointing to lower shipments of the iPhone 5 to a select group of clients one day before the report was available to the rest of the market.

According to the complaint, the clients who got the advance research report allegedly were T. In addition to the fine, Citigroup agreed to increase compliance and review its electronic surveillance of communications between its analysts and those outside the company to prevent future occurrences. SEC v. Brokerage firms are also required to establish and maintain reasonably designed supervisory systems and written procedures to ensure compliance with securities laws and industry regulations.

We pursue FINRA arbitration claims nationwide on behalf of investors to recover financial losses arising out of wrongful conduct by financial advisors and brokerage firms. Securities Arbitration Lawyers Blog. Specifically, that: Citigroup Global Markets Inc.