Top

Citigroup

October 20, 2021 Morgan Stanley of Pasadena's Henry Chang Accused of Soliciting Outside Investments
January 17, 2020 Citigroup, YieldStreet Plans Risky Hedge Fund Product for Retail Customers
January 09, 2018 Citigroup Sanctioned $11.5 Million for Displaying Inaccurate Equity Research Ratings, Such as "Buy" When the Firm Meant "Sell"
December 27, 2017 NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
November 21, 2017 Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly
September 20, 2017 Mehran 'Ron' Tazhibi Sanctioned for Unsuitable Speculative Bond Recommendation to Retired Clients
January 31, 2017 Citigroup to Pay $18 Million for Overbilling Clients, Misplacing Decades-Worth of Client Contracts
November 01, 2016 Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
November 24, 2014 FINRA Fines Citigroup $15 Million for Supervisory Failures in IPO Research and Non-Public Communications
November 07, 2014 Kent George Lehman Barred for Improperly Borrowing From Customers, Failure to Cooperate
May 07, 2014 Morgan Stanley Fined $5 Million for Supervisory Failures Related to Initial Public Offering Sales
March 18, 2014 Citigroup Global Markets Ordered to Pay $1.1 Million for Illegal Short Selling Prior to Public Offerings, Supervisory Failures
August 02, 2013 FINRA Arbitration Panel Orders Citigroup to Pay $10.75 Million for Overconcentration Negligence and Failure to Supervise
March 20, 2013 Richard Grant Cody Fined & Suspended For Unsuitable and Excess Trading
March 20, 2013 Jane Elizabeth O'Brien Barred for Unauthorized $3 Million Loans, Failure to Repay Clients, Alleged Securities Fraud