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Regulatory Actions

CITIGROUP GLOBAL MARKETS INC NFA ID: 0002026

This page includes information regarding the Case History of these matters concerning the person or firm you are researching. It may also include the Outcome if the cases have been resolved regarding this person or firm.
Just like in all legal proceedings, when regulatory actions are resolved, it is almost always by settlement, not adjudication. A settlement may result in the imposition of a penalty without a determination of the merits of the charges or formal findings of wrongdoing. If the particular matter you are interested in has been resolved, please refer to the Narrative, and for certain NFA cases, the decision as provided in the Case Documents summary, to see whether it was adjudicated or settled.
ContributorCase #Action TypeEffective DateCase Outcome
CBOT RSRH-15-3513 • OFFICE RECORDKEEPING
07/31/2015 • FINE-SUMMARY $1000
CBOT RSRH-13-1376 • OFFICE RECORDKEEPING
06/18/2013 • FINE-SUMMARY $500
CBOT CBOT-07-72958-BC • TRADE PRACTICE
11/17/2008 • FINE PAID $15000
• FINE $15000
CBOT 99RFT023;158 • FLOOR RECORDKEEPING
01/07/2000 • FINE $2000
CBOT 99-MSR-12B • GENERAL CONDUCT
04/26/2001 • FINE $1000
CBOT 89-FIN-101 • FINANCIAL POSITION AND REPORTING
09/13/1989 • FINE $1000
CBOT 87-FIN-75 • FINANCIAL POSITION AND REPORTING
04/04/1988 • FINE $500
CBOT 2004-INV-15 • TRADE PRACTICE
12/14/2004 • FINE $50000
CBOT 15-8395 • OFFICE RECORDKEEPING
05/11/2015 • FINE-SUMMARY $5000
CBOT 14-CH-1403 • CLEARING PROCEDURES
04/30/2014 • FINE $25000
CBOT 14-7980 CTRA • OFFICE RECORDKEEPING
10/06/2014 • FINE-SUMMARY $5000
CBOT 14-7886 • OFFICE RECORDKEEPING
07/21/2014 • FINE-SUMMARY $3000
CBOT 1306980CTRT • FLOOR RECORDKEEPING
12/27/2013 • FINE-SUMMARY $1500
CBOT 13-9370 • OFFICE RECORDKEEPING
06/17/2013 • FINE-SUMMARY $3000
CBOT 1206424CTRT • FLOOR RECORDKEEPING
03/30/2012 • FINE-SUMMARY $1500
CBOT 12-CH-1208 • CLEARING PROCEDURES
03/08/2013 • FINE WAIVED $25000
• FINE-SUMMARY $50000
CBOT 12-9146-BC • TRADE PRACTICE
05/30/2014 • FINE PAID $4500
• FINE $4500
CBOT 12-9015-BC • TRADE PRACTICE
05/30/2014 • FINE PAID $10000
• FINE $10000
CBOT 1004547CTRA • FLOOR RECORDKEEPING
03/19/2010 • FINE-SUMMARY $5000
CBOT 10-4869-BC • TRADE PRACTICE
11/20/2014 • FINE PAID $100000
• FINE $100000
CBOT 0802932CTRA • FLOOR RECORDKEEPING
03/02/2009 • FINE-SUMMARY $2500
CBOT 06-MSR-046B • GENERAL CONDUCT
04/13/2007 • FINE $10000
CEI RSRH-13-1373 • OFFICE RECORDKEEPING
06/18/2013 • FINE-SUMMARY $1000
CEI 12-9147-BC CITIGROUP GLOBAL MKTS INC • TRADE PRACTICE
05/30/2014 • FINE PAID $3000
CME RSRH-13-1375 • OFFICE RECORDKEEPING
06/18/2013 • FINE-SUMMARY $4000
CME 14-7886 • OFFICE RECORDKEEPING
07/21/2014 • FINE-SUMMARY $1500
CME 13-9311 • OFFICE RECORDKEEPING
03/13/2013 • FINE-SUMMARY $2000
CME 13-9221 • OFFICE RECORDKEEPING
02/04/2013 • FINE-SUMMARY $1000
CME 13-7628-CTRA • FLOOR RECORDKEEPING
11/15/2013 • FINE-SUMMARY $2500
CME 12-9146-BC • TRADE PRACTICE
05/30/2014 • FINE PAID $10000
• FINE $10000
CME 1006753CTRA • FLOOR RECORDKEEPING
03/19/2010 • FINE-SUMMARY $5000
CME 10-4869-BC • TRADE PRACTICE
11/20/2014 • FINE PAID $50000
• FINE $50000
CME 0905250CTRA • FLOOR RECORDKEEPING
03/02/2009 • FINE-SUMMARY $2500
CME 0702732CTRT • FLOOR RECORDKEEPING
02/04/2008 • FINE-SUMMARY $1500
CME 0525703CTRA • FLOOR RECORDKEEPING
09/19/2005 • FINE-SUMMARY $1000
CME 0221378CTRA • FLOOR RECORDKEEPING
12/09/2002 • FINE $1000
CME 0118471CTRA • FLOOR RECORDKEEPING
03/28/2001 • FINE $1000
CSCE I98-05 • OFFICE RECORDKEEPING
• FLOOR RECORDKEEPING
10/13/1998 • FINE $750
ICE 2015-071 • TRADE PRACTICE
10/07/2015 • FINE-SUMMARY $2500
ICE 2014-074 • TRADE PRACTICE
09/15/2014 • FINE-SUMMARY $1000
ICE 2013-051M • OFFICE RECORDKEEPING
04/08/2015 • FINE-SUMMARY $2500
ICE 2013-015 • TRADE PRACTICE
10/09/2014 • FINE-SUMMARY $7500
NYBT 2005-088 • TRADE PRACTICE
11/09/2006 • FINE $50000
• CEASE AND DESIST
NYBT 2004-045 • FLOOR RECORDKEEPING
10/21/2005 • FINE $25000
• CEASE AND DESIST
NYFE OT-3 • FLOOR RECORDKEEPING
09/30/1991 • FINE-SUMMARY $5
NYME RSRH-13-2258 • OFFICE RECORDKEEPING
02/19/2014 • FINE-SUMMARY $7500
NYME RSRH-13-1930 • OFFICE RECORDKEEPING
11/18/2014 • FINE-SUMMARY $1000
NYME RSRH-13-1374 • OFFICE RECORDKEEPING
06/18/2013 • FINE-SUMMARY $2000
NYME RSRH 15-3199 • OFFICE RECORDKEEPING
03/23/2015 • FINE-SUMMARY $2500
NYME 15-8395 • OFFICE RECORDKEEPING
05/11/2015 • FINE-SUMMARY $5000
NYME 14-7886 • OFFICE RECORDKEEPING
07/21/2014 • FINE-SUMMARY $3000
NYME 13-9220 • OFFICE RECORDKEEPING
02/04/2013 • FINE-SUMMARY $5000
NYME 12-9170 • OFFICE RECORDKEEPING
02/08/2013 • FINE-SUMMARY $2000
NYME 12-9147-BC CITIGROUP GLOBAL MKTS INC • TRADE PRACTICE
05/30/2014 • FINE PAID $47500
 
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