(Reuters) - The penalty includes a $3 million fine and $12.2 million in restitution to more than 200 customers, the regulator said. Citigroup did not admit wrongdoing.
The NASD said it also suspended three brokers and two branch managers at a Citigroup branch office in Charlotte, North Carolina, and fined them a total of $295,000.
Read more at Reuters.com Government Filings News
The NASD said it also suspended three brokers and two branch managers at a Citigroup branch office in Charlotte, North Carolina, and fined them a total of $295,000.
Read more at Reuters.com Government Filings News
No comments:
Post a Comment