SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures Concerning Underwriting Expenses
- Written by Newsfile
Washington, D.C.--(Newsfile Corp. - August 29, 2023) - 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 connection with its underwriting...

