SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses

The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. (CGMI) for willfully violating recordkeeping requirements concerning expenses that the firm incurred in…

Read the Full Press Release

---

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.