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: Securities Law Prof Blog

FINRA Fines Citigroup $1.5 Million for Supervisory Failures Relating to Misappropriation of Cemeteries' Trust Funds

By Securites Lawprof

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FINRA imposed a monetary sanction of $1.5 million against Citigroup Global Markets Inc. for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee. The sanction represents a $750,000 fine and disgorgement of $750,000...

Full post as published by Securities Law Prof Blog on May 26, 2010 (boomark / email).

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