Citigroup Global Markets Inc.
- Regulatory AUM
- $56.0B
- Discretionary
- $35.0B
- Clients
- 59,829
- Avg AUM / client
- $936K
- Accounts
- 59,757
- Employees
- 7,036
AUM over time
Annual snapshots from Form ADV filings · as of Jun 30, 2026
Asset allocation (SMA assets by investment type)
as of Jun 30, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 34,655 | $9.5B | 17.0% |
| High net worth individuals | 23,441 | $32.0B | 57.1% |
| Pooled investment vehicles (non-investment companies) | 26 | $3.0B | 5.32% |
| Pension and profit sharing plans | 41 | $1.5B | 2.68% |
| Charitable organizations | 143 | $509M | 0.91% |
| State or municipal government entities | 11 | $2.8B | 5.07% |
| Corporations and other businesses | 1,512 | $6.7B | 11.9% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Orrick, Herrington & Sutcliffe Llp Defined Benefit Plan Orrick, Herrington & Sutcliffe Llp | 2024 | |
| Baker Distributing Corporation 401(k) Profit Sharing Plan Baker Distributing Corporation | 2024 |
People (2,419)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Platt, Dana Lynn | Chief Compliance Officer Investment Advisory Businesses | Mar 2013 (13y) | Less than 5% | |
| Meshel, Adam Reid | Co General Counsel | Apr 2013 (13y) | Less than 5% | |
| Chirico, John A | Director | Feb 2021 (6y) | Less than 5% | |
| Klein, Robert Francis | Co General Counsel | Mar 2021 (5y) | Less than 5% | |
| Dhouibi, Stephanie Anissa | Director | Mar 2022 (4y) | Less than 5% | |
| Valderrabano, Valentin Luis | Director | Oct 2023 (3y) | Less than 5% | |
| Valenti, John Angelo | Chief Financial Officer (Interim) | Mar 2024 (2y) | Less than 5% | |
| Varous, Dina | Director/Ceo/President/Chairwoman | Apr 2024 (2y) | Less than 5% | |
| Richardson, Cyrus Begley Iii | Chief Compliance Officer | May 2024 (2y) | Less than 5% | |
| Barratt, Christopher | Chief Operations Officer/Principal Operations Officer (Finop) | Aug 2024 (2y) | Less than 5% | |
| Scott Thomas Chronert | Registered representative | Jul 1997 (29y) | ||
| Ryan M Harris | Registered representative | Mar 2003 (23y) | ||
| Robert Eric Mitzel | Registered representative | Nov 2006 (20y) | ||
| Lloyd Braxton Clark | Registered representative | Mar 2007 (19y) | ||
| Michael Jacob Moss | Registered representative | Apr 2007 (19y) | ||
| Adam Jack Bain | Registered representative | May 2007 (19y) | ||
| Alan Jay Goldberg | Registered representative | May 2007 (19y) | ||
| Alana Rose Mcmillan | Registered representative | May 2007 (19y) | ||
| Alberto R Torres | Registered representative | May 2007 (19y) | ||
| Alexander John Marks | Registered representative | May 2007 (19y) | ||
| Andrew F Galimi | Registered representative | May 2007 (19y) | ||
| Andrew Lloyd Cohen | Registered representative | May 2007 (19y) | ||
| Anthony Michael Adamo | Registered representative | May 2007 (19y) | ||
| Arturo Jose Bohorques | Registered representative | May 2007 (19y) | ||
| Bernard Gustavo Reina | Registered representative | May 2007 (19y) | ||
| Beth Adrienne Rothstein | Registered representative | May 2007 (19y) | ||
| Bita Hafizi Nekoomaram | Registered representative | May 2007 (19y) | ||
| Brad Perry Goldberg | Registered representative | May 2007 (19y) | ||
| Bryan Paul Bradshaw | Registered representative | May 2007 (19y) | ||
| Carlo E Rossell | Registered representative | May 2007 (19y) | ||
| Cassie Mai Khuu | Registered representative | May 2007 (19y) | ||
| Catherine Angela Perugini | Registered representative | May 2007 (19y) | ||
| Celine Xiaolin Chen | Registered representative | May 2007 (19y) | ||
| Charles J Murison | Registered representative | May 2007 (19y) | ||
| Charlie Yeung | Registered representative | May 2007 (19y) | ||
| Christopher Altern Alexis | Registered representative | May 2007 (19y) | ||
| Christopher Frederick Zerbst | Registered representative | May 2007 (19y) | ||
| Christopher Jon Cralle | Registered representative | May 2007 (19y) | ||
| Christopher Michael Barron | Registered representative | May 2007 (19y) | ||
| Christopher Michael Lane | Registered representative | May 2007 (19y) | ||
| Cordelia Gee Ling Lo | Registered representative | May 2007 (19y) | ||
| Crystal Lynn Berentz | Registered representative | May 2007 (19y) | ||
| Constantine Demetrios Moutsatsos | Registered representative | May 2007 (19y) | ||
| Dariana V. Gordon | Registered representative | May 2007 (19y) | ||
| David Chamdrika Darshan | Registered representative | May 2007 (19y) | ||
| David De La Cruz | Registered representative | May 2007 (19y) | ||
| Diana Sawiris | Registered representative | May 2007 (19y) | ||
| Diane Elena Kessler | Registered representative | May 2007 (19y) | ||
| Dionisio Jose Chamorro | Registered representative | May 2007 (19y) | ||
| Douglas A Scotti | Registered representative | May 2007 (19y) | ||
| Douglas Omar Ramirez | Registered representative | May 2007 (19y) | ||
| Douglas Stewart Gourley | Registered representative | May 2007 (19y) | ||
| Drew Ira Newman | Registered representative | May 2007 (19y) | ||
| Dwayne Michael Isaac | Registered representative | May 2007 (19y) | ||
| Eden Donald Demar | Registered representative | May 2007 (19y) | ||
| Edith L. Caceres | Registered representative | May 2007 (19y) | ||
| Edward Patrick Cleary | Registered representative | May 2007 (19y) | ||
| Edward Vizcaino | Registered representative | May 2007 (19y) | ||
| Edwin Van Es | Registered representative | May 2007 (19y) | ||
| Einat Sadka | Registered representative | May 2007 (19y) | ||
| Emile Samir Abinader | Registered representative | May 2007 (19y) | ||
| Emilio Rodriguez | Registered representative | May 2007 (19y) | ||
| Emilio Wu | Registered representative | May 2007 (19y) | ||
| Enrique Alejandro Olavarria | Registered representative | May 2007 (19y) | ||
| Eric Kenneth Mark | Registered representative | May 2007 (19y) | ||
| Francoise Fatima Price | Registered representative | May 2007 (19y) | ||
| Franklin Jose Ramirez | Registered representative | May 2007 (19y) | ||
| Frederick Corsentino | Registered representative | May 2007 (19y) | ||
| Gloria Maria Gomez Orourke | Registered representative | May 2007 (19y) | ||
| Gonzalo M Luchetti | Registered representative | May 2007 (19y) | ||
| Gonzalo Perez Verdia | Registered representative | May 2007 (19y) | ||
| Gregory John Heyman | Registered representative | May 2007 (19y) | ||
| Garland Huie | Registered representative | May 2007 (19y) | ||
| Hasan Raza Shirazi | Registered representative | May 2007 (19y) | ||
| Helen Wansee Wong | Registered representative | May 2007 (19y) | ||
| Jacob Benjamin Pathe | Registered representative | May 2007 (19y) | ||
| James Edward Desharnais | Registered representative | May 2007 (19y) | ||
| James Hugo Corselli | Registered representative | May 2007 (19y) | ||
| James Joseph Manzolillo | Registered representative | May 2007 (19y) | ||
| James Lee | Registered representative | May 2007 (19y) | ||
| Jason Yihui Lin | Registered representative | May 2007 (19y) | ||
| Jay Robert Post | Registered representative | CFP | May 2007 (19y) | |
| Jeffery Gr Goble | Registered representative | May 2007 (19y) | ||
| Jeffery Lynn Micheli | Registered representative | May 2007 (19y) | ||
| Jeffrey David Wrobel | Registered representative | May 2007 (19y) | ||
| Jeffrey Douglas Lang | Registered representative | May 2007 (19y) | ||
| Jeffrey Frank Damasco | Registered representative | May 2007 (19y) | ||
| Jerry Joseph Mackey | Registered representative | May 2007 (19y) | ||
| John Maisto Jacobson | Registered representative | May 2007 (19y) | ||
| John Serna | Registered representative | May 2007 (19y) | ||
| Jonathan Sc De Varso | Registered representative | May 2007 (19y) | ||
| Judith Liotta Leahy | Registered representative | May 2007 (19y) | ||
| Juliet Shin Park | Registered representative | May 2007 (19y) | ||
| Justin Paul Pollack | Registered representative | May 2007 (19y) | ||
| Kathleen Yvonne Feeney | Registered representative | May 2007 (19y) | ||
| Kevin George Koch | Registered representative | May 2007 (19y) | ||
| Kwan Hyun Yoon | Registered representative | May 2007 (19y) | ||
| Karen Lawrence | Registered representative | May 2007 (19y) | ||
| Kent A Lucken | Registered representative | May 2007 (19y) | ||
| Kerry P Cochran | Registered representative | CFP | May 2007 (19y) | |
| Laila Moumou | Registered representative | May 2007 (19y) | ||
| Laura Vasquez | Registered representative | May 2007 (19y) | ||
| Lawrence Royt Wagner | Registered representative | May 2007 (19y) | ||
| Leng M Lo | Registered representative | May 2007 (19y) | ||
| Luis Eduardo Giralt | Registered representative | CFA | May 2007 (19y) | |
| Marcel Alexander Martinez | Registered representative | May 2007 (19y) | ||
| Maria Isabel Cancel | Registered representative | May 2007 (19y) | ||
| Maria Paula Patino | Registered representative | May 2007 (19y) | ||
| Mariano Lorenzo Pinto | Registered representative | May 2007 (19y) | ||
| Mark Charles Jaffe | Registered representative | May 2007 (19y) | ||
| Matthew Farrell Griffin | Registered representative | May 2007 (19y) | ||
| Michael Anthony Genduso | Registered representative | May 2007 (19y) | ||
| Michael Kh Jamal | Registered representative | May 2007 (19y) | ||
| Michael Pak | Registered representative | May 2007 (19y) | ||
| Michael Patrick Nolan | Registered representative | May 2007 (19y) | ||
| Michael Weldon Courtney | Registered representative | May 2007 (19y) | ||
| Miguel Esteban Fernandez | Registered representative | May 2007 (19y) | ||
| Miles Wanli She | Registered representative | May 2007 (19y) | ||
| Michael Rovito | Registered representative | May 2007 (19y) | ||
| Patricia Rene Merlo | Registered representative | May 2007 (19y) | ||
| Paul Jason Mora | Registered representative | May 2007 (19y) | ||
| Paul Joseph Lafountain | Registered representative | May 2007 (19y) | ||
| Paul William Padron | Registered representative | May 2007 (19y) | ||
| Peter Alan Darke | Registered representative | May 2007 (19y) | ||
| Peter Bournias | Registered representative | May 2007 (19y) | ||
| Peter Jonathan Nielsen | Registered representative | May 2007 (19y) | ||
| Philomene Anne Maria Stanley | Registered representative | May 2007 (19y) | ||
| Pui Wong Eng | Registered representative | May 2007 (19y) | ||
| Rabih Moufid Msallem | Registered representative | May 2007 (19y) | ||
| Raymond Eliot Williamson | Registered representative | May 2007 (19y) | ||
| Richard Roy Goldberg | Registered representative | May 2007 (19y) | ||
| Robert Anthony Nicotra | Registered representative | May 2007 (19y) | ||
| Robert Ivan Schwartz | Registered representative | May 2007 (19y) | ||
| Robert Vincent Miraglia | Registered representative | May 2007 (19y) | ||
| Rodney James Rodriguez | Registered representative | May 2007 (19y) | ||
| Ronald Paul Putelo | Registered representative | May 2007 (19y) | ||
| Sandra Ortega | Registered representative | May 2007 (19y) | ||
| Shawn Deon Abrahamse | Registered representative | May 2007 (19y) | ||
| Steven Marc Work | Registered representative | May 2007 (19y) | ||
| Stuart Nathan Rosenberg | Registered representative | May 2007 (19y) | ||
| Thomas John Scala | Registered representative | May 2007 (19y) | ||
| Thomas Paul Tibaldi | Registered representative | May 2007 (19y) | ||
| Tracey Fabricius | Registered representative | May 2007 (19y) | ||
| Tracey Pier Dausin | Registered representative | May 2007 (19y) | ||
| Todd R Staretz | Registered representative | May 2007 (19y) | ||
| Wendy J Lam | Registered representative | May 2007 (19y) | ||
| Willem Otto Anton Smit | Registered representative | May 2007 (19y) | ||
| William Arthur Osland | Registered representative | May 2007 (19y) | ||
| William E Maurer | Registered representative | May 2007 (19y) | ||
| Yale Benjamin Bahar | Registered representative | May 2007 (19y) | ||
| Gregory Paul Byrne | Registered representative | May 2007 (19y) | ||
| Junaid Akhtar Fatmi | Registered representative | Jun 2007 (19y) | ||
| Amanda Maria Miranda Torres | Registered representative | Jun 2007 (19y) | ||
| Sergio Javier Samur Henriquez | Registered representative | Jun 2007 (19y) | ||
| Shannon Thomas Canady | Registered representative | Jul 2007 (19y) | ||
| David Milles Daniel | Registered representative | Aug 2007 (19y) | ||
| Rommel Sombillo Valarao | Registered representative | Aug 2007 (19y) | ||
| Josie Jo Ting Su | Registered representative | Aug 2007 (19y) | ||
| Liyun Chang Chi | Registered representative | Aug 2007 (19y) | ||
| Herminio Lagonegro | Registered representative | Aug 2007 (19y) | ||
| Lorena Lo Heredia Caseres | Registered representative | Sep 2007 (19y) | ||
| Timothy Trevor Kenska | Registered representative | Oct 2007 (19y) | ||
| Gary Peng Wei | Registered representative | Oct 2007 (19y) | ||
| Gzim Mehmeti | Registered representative | Oct 2007 (19y) | ||
| Marion Alexandra Berg Hallock | Registered representative | Dec 2007 (19y) | ||
| Alessandra Giantomasi Ermel | Registered representative | Dec 2007 (19y) | ||
| Tito Julio Salas | Registered representative | Feb 2008 (18y) | ||
| Helio Prado | Registered representative | Mar 2008 (18y) | ||
| Gabriel Ferra | Registered representative | Apr 2008 (18y) | ||
| Shiou Yean Chen | Registered representative | Apr 2008 (18y) | ||
| Helan Kim | Registered representative | Apr 2008 (18y) | ||
| Ricardo Eiji Higuchi | Registered representative | May 2008 (18y) | ||
| Amanda Stacey Dowdy Gustafson | Registered representative | Jun 2008 (18y) | ||
| Ricardo Yepes | Registered representative | Jul 2008 (18y) | ||
| Hubert Cruz | Registered representative | Sep 2008 (18y) | ||
| Pamela Silvas Martinez | Registered representative | Nov 2008 (18y) | ||
| Joseph Anthony Slechta | Registered representative | Nov 2008 (18y) | ||
| Clark Nicholas Jennison | Registered representative | Nov 2008 (18y) | ||
| John Daniel Reilly | Registered representative | Jan 2009 (18y) | ||
| Timothy Lawrence Trimble | Registered representative | Mar 2009 (17y) | ||
| Eric A Sorensen | Registered representative | Apr 2009 (17y) | ||
| Carol Dahl | Registered representative | Jun 2009 (17y) | ||
| Stuart Andrew Sprenger | Registered representative | Aug 2009 (17y) | ||
| Nicholas Stephen Bialecki | Registered representative | Aug 2009 (17y) | ||
| Shelly Ruiz | Registered representative | Nov 2009 (17y) | ||
| Laura Margaret Goodman | Registered representative | Dec 2009 (17y) | ||
| Marisela Fraire Gonzalez | Registered representative | Dec 2009 (17y) | ||
| German Saborio | Registered representative | Dec 2009 (17y) | ||
| Roberta Defreitas | Registered representative | Jan 2010 (17y) | ||
| Alejandro Luis Gonzalez | Registered representative | Feb 2010 (16y) | ||
| Joseph Vincent Ricotta | Registered representative | CFP | Mar 2010 (16y) | |
| Sergio Teijelo | Registered representative | Mar 2010 (16y) | ||
| Michelle Lee Murray | Registered representative | Apr 2010 (16y) | ||
| Daniel J Williams | Registered representative | May 2010 (16y) | ||
| Brian Corey | Registered representative | May 2010 (16y) | ||
| Thomas Robert Baxter | Registered representative | May 2010 (16y) | ||
| Peter Cvikevich | Registered representative | May 2010 (16y) | ||
| George Joseph Olney | Registered representative | May 2010 (16y) | ||
| Andrea Rossato | Registered representative | Jun 2010 (16y) | ||
| Mark Joseph Immel | Registered representative | Jun 2010 (16y) | ||
| Nitika Sethi | Registered representative | Jun 2010 (16y) | ||
| Desiree Trader | Registered representative | Jun 2010 (16y) | ||
| Christopher J Howard | Registered representative | Jun 2010 (16y) | ||
| Christopher Francis Ochs | Registered representative | Jul 2010 (16y) | ||
| Avanee Patel | Registered representative | Jul 2010 (16y) | ||
| Desiree B Moreno Pineyro | Registered representative | Aug 2010 (16y) | ||
| Leticia Lamar Perrine | Registered representative | Aug 2010 (16y) | ||
| Bryan Eugene Quinn | Registered representative | Aug 2010 (16y) | ||
| Phillipe Allushean Morales | Registered representative | Aug 2010 (16y) | ||
| Robert Earl Anderson | Registered representative | Sep 2010 (16y) | ||
| Nicholas John Smerina | Registered representative | Sep 2010 (16y) | ||
| Bradford Wayne Pollard | Registered representative | Sep 2010 (16y) | ||
| Walter Lewis Cranford | Registered representative | Sep 2010 (16y) | ||
| Katherine Crosby Stith | Registered representative | Nov 2010 (16y) | ||
| Emilene Rosely Andrews | Registered representative | Nov 2010 (16y) | ||
| Moyra Golden | Registered representative | Dec 2010 (16y) | ||
| Nicole Williams Schofield | Registered representative | Dec 2010 (16y) | ||
| Evan Robert Ratnow | Registered representative | Dec 2010 (16y) | ||
| Ricardo Veneziano De Oliveira | Registered representative | Jan 2011 (16y) | ||
| Roberto Carlos De Andrade | Registered representative | Jan 2011 (16y) | ||
| Jonathan E Tulman | Registered representative | Jan 2011 (16y) | ||
| Juan Katz | Registered representative | Feb 2011 (15y) | ||
| Scott Jeffrey Kriegshaber | Registered representative | Feb 2011 (15y) | ||
| Donna M Donaldson | Registered representative | Mar 2011 (15y) | ||
| William Shyan Chan | Registered representative | Mar 2011 (15y) | ||
| Mary Helen Portalatin | Registered representative | Mar 2011 (15y) | ||
| Vernon Scott Ng | Registered representative | Apr 2011 (15y) | ||
| Teresa M Forde | Registered representative | May 2011 (15y) | ||
| Christopher T Ponte | Registered representative | Jun 2011 (15y) | ||
| James Ro Miller | Registered representative | Jun 2011 (15y) | ||
| Terry Brian Kelley | Registered representative | Jun 2011 (15y) | ||
| Marbel Ugando | Registered representative | Aug 2011 (15y) | ||
| Ana A Ortega | Registered representative | Aug 2011 (15y) | ||
| Christopher Barone | Registered representative | Sep 2011 (15y) | ||
| Hector Enrique Evangelista | Registered representative | Oct 2011 (15y) | ||
| Pedro Alberto Narvaez Garcia | Registered representative | Oct 2011 (15y) | ||
| Giovanni Alfonso Cardenas | Registered representative | Oct 2011 (15y) | ||
| Juan Arturo Marrero | Registered representative | Nov 2011 (15y) | ||
| Avi Jankelovits | Registered representative | Nov 2011 (15y) | ||
| Douglas R Batten | Registered representative | Dec 2011 (15y) | ||
| Antonio C Lee | Registered representative | Dec 2011 (15y) | ||
| Oscar W. Sanz Rehermann | Registered representative | Feb 2012 (14y) | ||
| Josip S. Antolos | Registered representative | Mar 2012 (14y) | ||
| Gabriel Martin | Registered representative | Mar 2012 (14y) | ||
| Adam Ilan Gutman | Registered representative | Mar 2012 (14y) | ||
| Jeffrey Leong | Registered representative | Apr 2012 (14y) | ||
| Bradford Winton | Registered representative | May 2012 (14y) | ||
| Amy Elizabeth Elias | Registered representative | May 2012 (14y) | ||
| Christine Heather Wolferman | Registered representative | May 2012 (14y) | ||
| Diego Martin Szuldman | Registered representative | May 2012 (14y) | ||
| Eduardo Herrera | Registered representative | Jun 2012 (14y) | ||
| John James Zaia | Registered representative | Jul 2012 (14y) | ||
| William John Grimes | Registered representative | Jul 2012 (14y) | ||
| Juan Carlos Arce | Registered representative | Jul 2012 (14y) | ||
| Denise Yi | Registered representative | Aug 2012 (14y) | ||
| Roberto Torres | Registered representative | Aug 2012 (14y) | ||
| Jeffrey Daniel Marks | Registered representative | Sep 2012 (14y) | ||
| Gregory Curtis Manning | Registered representative | Oct 2012 (14y) | ||
| Nanlan Ou | Registered representative | Oct 2012 (14y) | ||
| Gasan Abdulaev | Registered representative | Oct 2012 (14y) | ||
| Dennis James Salem | Registered representative | Oct 2012 (14y) | ||
| Frank Michael Barone | Registered representative | Dec 2012 (14y) | ||
| Benjamin Louis Ehrlich | Registered representative | Dec 2012 (14y) | ||
| Gilbert Rowland Hess | Registered representative | Dec 2012 (14y) | ||
| Jacob Louis Brull | Registered representative | Jan 2013 (14y) | ||
| Richard J Soroka | Registered representative | Jan 2013 (14y) | ||
| Christine Ann Mcanally | Registered representative | Jan 2013 (14y) | ||
| Christopher Martin | Registered representative | Jan 2013 (14y) | ||
| Joaquin Mario Alvarez Menendez | Registered representative | Feb 2013 (13y) | ||
| Eric Valdez | Registered representative | Feb 2013 (13y) | ||
| Genaro Poulat | Registered representative | Feb 2013 (13y) | ||
| Daniel George Leibforth | Registered representative | Feb 2013 (13y) | ||
| Paul Dulock | Registered representative | Apr 2013 (13y) | ||
| Tito A Zamorano Calvo | Registered representative | Apr 2013 (13y) | ||
| Pedro Alberto Marquez | Registered representative | Apr 2013 (13y) | ||
| Gabriel Alberto Contreras Chacon | Registered representative | May 2013 (13y) | ||
| Haorong Huang | Registered representative | Jul 2013 (13y) | ||
| Charles Kirkland Davis | Registered representative | Jul 2013 (13y) | ||
| Tony Kungpo Yang | Registered representative | Jul 2013 (13y) | ||
| Elsie George Elias | Registered representative | Aug 2013 (13y) | ||
| Reynante Bueno | Registered representative | Aug 2013 (13y) | ||
| Tyler Q Kelly | Registered representative | Aug 2013 (13y) | ||
| Panorea Taglis La Venuta | Registered representative | Sep 2013 (13y) | ||
| Robert Hugh Mauldin | Registered representative | Sep 2013 (13y) | ||
| Elizabeth Santiago | Registered representative | Sep 2013 (13y) | ||
| Everett Pimentel | Registered representative | Oct 2013 (13y) | ||
| Brian Alarcon | Registered representative | Oct 2013 (13y) | ||
| Deborah A Divito Welch | Registered representative | Oct 2013 (13y) | ||
| Joseph Nii Kpakpa Quartey | Registered representative | Nov 2013 (13y) | ||
| Isbett Martinez | Registered representative | Nov 2013 (13y) | ||
| Jorge Menendez | Registered representative | Nov 2013 (13y) | ||
| Mercedes Garcia Ayuso | Registered representative | Dec 2013 (13y) | ||
| Tony Hung Nguy | Registered representative | Jan 2014 (13y) | ||
| Oswaldo M Medina | Registered representative | Jan 2014 (13y) | ||
| Ivonne Roque | Registered representative | Jan 2014 (13y) | ||
| Sara Elizabeth Doutt | Registered representative | Jan 2014 (13y) | ||
| Sandra Carolina Sepulveda | Registered representative | Jan 2014 (13y) | ||
| Samira Sharmouj | Registered representative | Jan 2014 (13y) | ||
| Carolina Torres | Registered representative | Feb 2014 (12y) | ||
| Chih Hsuan Chien | Registered representative | Mar 2014 (12y) | ||
| Johnathan David Kilwien | Registered representative | Mar 2014 (12y) | ||
| Pablo Mon | Registered representative | Mar 2014 (12y) | ||
| Paul Alan Giscard | Registered representative | Mar 2014 (12y) | ||
| Christian R Riera | Registered representative | Mar 2014 (12y) | ||
| Hiroto Hayashi | Registered representative | Apr 2014 (12y) | ||
| Tomonari Yamanaka | Registered representative | Apr 2014 (12y) | ||
| David M Neves Pereira | Registered representative | Apr 2014 (12y) | ||
| Francisco Javier Couttenye | Registered representative | May 2014 (12y) | ||
| Boris Ricardo Espinoza | Registered representative | Jun 2014 (12y) | ||
| Daniel Joseph De Masi | Registered representative | Jun 2014 (12y) | ||
| Brian Sodol | Registered representative | Jun 2014 (12y) | ||
| Aye M Swe | Registered representative | Jun 2014 (12y) | ||
| James Matthew Zika | Registered representative | Jul 2014 (12y) | ||
| Victoria Saenz Espinoza | Registered representative | Jul 2014 (12y) | ||
| Daniel Pena Lawson | Registered representative | Aug 2014 (12y) | ||
| Oswaldo Caldera | Registered representative | Aug 2014 (12y) | ||
| Ethan Lee Willis | Registered representative | Aug 2014 (12y) | ||
| Mark Renna | Registered representative | Aug 2014 (12y) | ||
| Jose S Jimenez | Registered representative | Sep 2014 (12y) | ||
| Harold Dean Mcmillan | Registered representative | Sep 2014 (12y) | ||
| Bryan Jonathan Percle | Registered representative | Oct 2014 (12y) | ||
| Hugo Fernando Ulloa | Registered representative | Oct 2014 (12y) | ||
| Scott B Kesselman | Registered representative | Oct 2014 (12y) | ||
| Charles P Churchill | Registered representative | Oct 2014 (12y) | ||
| Marjorie Josefina Goncalves Ponce | Registered representative | Oct 2014 (12y) | ||
| Donald Worthington Smith | Registered representative | Nov 2014 (12y) | ||
| Maria Adriana Nunes Figueira | Registered representative | Nov 2014 (12y) | ||
| Marc L Gauval | Registered representative | CFA | Dec 2014 (12y) | |
| Sandra Milagros Arcay De Mazzola | Registered representative | Dec 2014 (12y) | ||
| Jason Orzechowski | Registered representative | Dec 2014 (12y) | ||
| Christopher Michael Hurley | Registered representative | Dec 2014 (12y) | ||
| Ivy Shih Leung | Registered representative | Dec 2014 (12y) | ||
| Cesar A Alonso | Registered representative | Jan 2015 (12y) | ||
| Michael Alan Simon | Registered representative | Jan 2015 (12y) | ||
| Amir N Boghdady | Registered representative | Jan 2015 (12y) | ||
| Gregory Anton Benson | Registered representative | Jan 2015 (12y) | ||
| William Olmstead | Registered representative | Feb 2015 (11y) | ||
| Alejandro Jose Chirino | Registered representative | Feb 2015 (11y) | ||
| Anastasia Tkatschow | Registered representative | Feb 2015 (11y) | ||
| Sean Rath | Registered representative | Mar 2015 (11y) | ||
| Sam Ghali | Registered representative | Mar 2015 (11y) | ||
| Leonardo Diaz | Registered representative | Mar 2015 (11y) | ||
| Christopher Joseph Lopez | Registered representative | Mar 2015 (11y) | ||
| Peter J Van Eyck | Registered representative | Mar 2015 (11y) | ||
| Stephen Stafutti | Registered representative | Apr 2015 (11y) | ||
| Laszlo Gabor Rekasi | Registered representative | Apr 2015 (11y) | ||
| Daniel Scott Room | Registered representative | May 2015 (11y) | ||
| David X Chu | Registered representative | May 2015 (11y) | ||
| Justin Christopher Pagan | Registered representative | May 2015 (11y) | ||
| Mario A Farfan | Registered representative | May 2015 (11y) | ||
| Andres S Ramirez | Registered representative | May 2015 (11y) | ||
| Julio Eduardo Barrientos | Registered representative | May 2015 (11y) | ||
| Armando Figueroa Cartagena | Registered representative | Jun 2015 (11y) | ||
| Angela Clardy | Registered representative | Jun 2015 (11y) | ||
| Manuel Alvarez Fernandez | Registered representative | Jul 2015 (11y) | ||
| Esperanza Castro | Registered representative | Aug 2015 (11y) | ||
| Timothy Ping Leung | Registered representative | Aug 2015 (11y) | ||
| Alfredo Horacio Pardo | Registered representative | Aug 2015 (11y) | ||
| Michael Squillante | Registered representative | Aug 2015 (11y) | ||
| Dennis Mai | Registered representative | Sep 2015 (11y) | ||
| Omeed Nathan Mahoobi | Registered representative | Oct 2015 (11y) | ||
| Jonathan Leach | Registered representative | Oct 2015 (11y) | ||
| Michael T. Burns | Registered representative | Oct 2015 (11y) | ||
| Geraldine Rivera | Registered representative | Oct 2015 (11y) | ||
| Kevin Lane | Registered representative | Oct 2015 (11y) | ||
| Christopher James Watson | Registered representative | Nov 2015 (11y) | ||
| Chiahsin Kathy Ku | Registered representative | Nov 2015 (11y) | ||
| Benjamin Cheung | Registered representative | Nov 2015 (11y) | ||
| Jessica Yoo Mark | Registered representative | Nov 2015 (11y) | ||
| Susan Friedeberg | Registered representative | Nov 2015 (11y) | ||
| Robert Khalil Farmand | Registered representative | Dec 2015 (11y) | ||
| Sushma Gupta | Registered representative | Dec 2015 (11y) | ||
| Anthony J Scott | Registered representative | Dec 2015 (11y) | ||
| Khionne Noel Awer | Registered representative | Dec 2015 (11y) | ||
| Matthew Walter Neugebauer | Registered representative | Dec 2015 (11y) | ||
| Felix Mike Loredo | Registered representative | Jan 2016 (11y) | ||
| Huong Christy Nguyen | Registered representative | Jan 2016 (11y) | ||
| Patrick D Rabenau | Registered representative | Jan 2016 (11y) | ||
| Ralph Vallega Ganchero | Registered representative | Jan 2016 (11y) | ||
| Margaret Bluhm | Registered representative | Jan 2016 (11y) | ||
| William Burke Munger | Registered representative | Jan 2016 (11y) | ||
| Andrew C Lai | Registered representative | Feb 2016 (10y) | ||
| Chao Lin Wood | Registered representative | Chartered Financial Consultant | Feb 2016 (10y) | |
| Roxana Mirella Canales | Registered representative | Feb 2016 (10y) | ||
| Sandra M Gutierrez | Registered representative | Feb 2016 (10y) | ||
| Yolanda Santiago Irizarry | Registered representative | Mar 2016 (10y) | ||
| Joe Liew | Registered representative | Mar 2016 (10y) | ||
| Giuliana Figuerola Tenerelli | Registered representative | Mar 2016 (10y) | ||
| Ewa Banach | Registered representative | Mar 2016 (10y) | ||
| Andres Sarria | Registered representative | Mar 2016 (10y) | ||
| Carlos Federico Fuhrmeister | Registered representative | Mar 2016 (10y) | ||
| Diego Arturo Dominguez Yunes | Registered representative | Mar 2016 (10y) | ||
| William Thomas Williamson | Registered representative | Mar 2016 (10y) | ||
| Thomas Joseph Nadratowski | Registered representative | Mar 2016 (10y) | ||
| Carly Bedell Levine | Registered representative | Apr 2016 (10y) | ||
| Naira Melkonyan | Registered representative | Apr 2016 (10y) | ||
| Jerry Lee Hallberg | Registered representative | Apr 2016 (10y) | ||
| Tommy Tho Tran | Registered representative | Apr 2016 (10y) | ||
| Robert Frank Pondt | Registered representative | Apr 2016 (10y) | ||
| Felix Sariel Ferrer | Registered representative | Apr 2016 (10y) | ||
| Christian Paz | Registered representative | May 2016 (10y) | ||
| Victor Ochaney | Registered representative | May 2016 (10y) | ||
| Breanne Allison Meaney | Registered representative | Jun 2016 (10y) | ||
| Mauricio Reid | Registered representative | Jul 2016 (10y) | ||
| Ryan Raphael | Registered representative | Jul 2016 (10y) | ||
| Maria Cristina Cure | Registered representative | Aug 2016 (10y) | ||
| Robert V Papaleo | Registered representative | Aug 2016 (10y) | ||
| Scott James Borg | Registered representative | Aug 2016 (10y) | ||
| Enrique Alvarez | Registered representative | Aug 2016 (10y) | ||
| Victor Andrew Olivos Ramsden | Registered representative | Sep 2016 (10y) | ||
| Juan Luis Arana Gallo | Registered representative | Sep 2016 (10y) | ||
| Alexander Peter Filosa | Registered representative | Sep 2016 (10y) | ||
| Onjada Haggard Richardson | Registered representative | Sep 2016 (10y) | ||
| Michelle Griffith | Registered representative | Sep 2016 (10y) | ||
| Jenny G Zhan Morales | Registered representative | Sep 2016 (10y) | ||
| Katharina Murano | Registered representative | Sep 2016 (10y) | ||
| Vladislav Gurevich | Registered representative | Sep 2016 (10y) | ||
| Alexander Levy | Registered representative | Oct 2016 (10y) | ||
| Marlana Arline Splettstosser | Registered representative | Oct 2016 (10y) | ||
| James Mario Messina | Registered representative | Oct 2016 (10y) | ||
| Justin Edward Mcmahan | Registered representative | Oct 2016 (10y) | ||
| Manuel Enrique De Llovio Blandino | Registered representative | Oct 2016 (10y) | ||
| Katharine Massey Smith | Registered representative | Oct 2016 (10y) | ||
| Jon R Wessels | Registered representative | Nov 2016 (10y) | ||
| Keith Landry | Registered representative | Nov 2016 (10y) | ||
| Richard Edward Civello | Registered representative | CFA | Nov 2016 (10y) | |
| Douglas A Drehwing | Registered representative | Nov 2016 (10y) | ||
| Payum Payman | Registered representative | Nov 2016 (10y) | ||
| Victor L Cruz | Registered representative | Nov 2016 (10y) | ||
| Anand Bhakta | Registered representative | Dec 2016 (10y) | ||
| Grace Patricia Rocha | Registered representative | Dec 2016 (10y) | ||
| Mary Fatima Reid | Registered representative | Dec 2016 (10y) | ||
| Steven Mitchell Koury | Registered representative | Jan 2017 (10y) | ||
| Aurea Antunes | Registered representative | Jan 2017 (10y) | ||
| Fernando Xavier Rodriguez | Registered representative | Jan 2017 (10y) | ||
| Christina Rose Dispigna | Registered representative | Feb 2017 (9y) | ||
| Luz Milagros Castre | Registered representative | Feb 2017 (9y) | ||
| Mario Matthew Girone | Registered representative | Feb 2017 (9y) | ||
| Alex G. Ruiz | Registered representative | Mar 2017 (9y) | ||
| Nicole Gonzalez | Registered representative | Mar 2017 (9y) | ||
| Andrea Guadalupe Osorio | Registered representative | Mar 2017 (9y) | ||
| Mailyn Ferrin | Registered representative | Mar 2017 (9y) | ||
| Michael William Schmidt | Registered representative | Mar 2017 (9y) | ||
| William Venezia | Registered representative | Mar 2017 (9y) | ||
| Adam Joel Boersma | Registered representative | Apr 2017 (9y) | ||
| Matthew Eli Bloom | Registered representative | Apr 2017 (9y) | ||
| William Larry Standridge | Registered representative | Apr 2017 (9y) | ||
| Xienh Que Ly | Registered representative | Apr 2017 (9y) | ||
| Nelson David Gomez | Registered representative | Apr 2017 (9y) | ||
| Robert Gene Lee | Registered representative | May 2017 (9y) | ||
| Suzanne Wong | Registered representative | May 2017 (9y) | ||
| Ahmad Abu Adas | Registered representative | May 2017 (9y) | ||
| David Chan | Registered representative | May 2017 (9y) | ||
| Franklin Thomas Gutierrez | Registered representative | May 2017 (9y) | ||
| Lisa Marie Kohut | Registered representative | CFP | May 2017 (9y) | |
| Luis F Seabra | Registered representative | May 2017 (9y) | ||
| Jiyan Hu | Registered representative | May 2017 (9y) | ||
| Braeden Keith Ziegler | Registered representative | May 2017 (9y) | ||
| Elizabeth Fernandez | Registered representative | May 2017 (9y) | ||
| Masa Sekulic | Registered representative | Jun 2017 (9y) | ||
| Carmen Saenz Hill | Registered representative | Jun 2017 (9y) | ||
| Matthew Stanton | Registered representative | Jun 2017 (9y) | ||
| Francisco F Pastor | Registered representative | Jun 2017 (9y) | ||
| Philip Evan Saravis | Registered representative | Jun 2017 (9y) | ||
| Richard Yuen | Registered representative | Jun 2017 (9y) | ||
| Burke Allen Anderson | Registered representative | Jun 2017 (9y) | ||
| Philip Kevin Diperna | Registered representative | Jun 2017 (9y) | ||
| Morin Ly Lam | Registered representative | Jul 2017 (9y) | ||
| Scott T Wetherby | Registered representative | Jul 2017 (9y) | ||
| Robert Eric Kraus | Registered representative | Aug 2017 (9y) | ||
| Jason Michael Dilorenzo | Registered representative | Aug 2017 (9y) | ||
| Christopher Spenser Bernard | Registered representative | Aug 2017 (9y) | ||
| Kara E Livesey | Registered representative | Aug 2017 (9y) | ||
| Andrew Perceleanu | Registered representative | Aug 2017 (9y) | ||
| Joseph Frank Beck | Registered representative | Aug 2017 (9y) | ||
| Dylan Patrick Mathis | Registered representative | Sep 2017 (9y) | ||
| Jacob Alvarez | Registered representative | Sep 2017 (9y) | ||
| Lynn K Tsang | Registered representative | Sep 2017 (9y) | ||
| Rocio Mora Salazar | Registered representative | Sep 2017 (9y) | ||
| Armando Acosta | Registered representative | Sep 2017 (9y) | ||
| Charles Jospeh Cavanaugh | Registered representative | Sep 2017 (9y) | ||
| Justin Diaz | Registered representative | Sep 2017 (9y) | ||
| Joseph Christopher Fiorica | Registered representative | Sep 2017 (9y) | ||
| James Joseph Klem | Registered representative | Sep 2017 (9y) | ||
| Ann Lh Tung | Registered representative | Sep 2017 (9y) | ||
| Caroline Santiago | Registered representative | Oct 2017 (9y) | ||
| Juan Corona | Registered representative | Oct 2017 (9y) | ||
| Andrew Julius Hack | Registered representative | Oct 2017 (9y) | ||
| Katelyn M Edge | Registered representative | Oct 2017 (9y) | ||
| Roberto 'Tucker' Maria Lopez | Registered representative | Oct 2017 (9y) | ||
| Derek Collins Prill | Registered representative | Oct 2017 (9y) | ||
| Sady Gomez Lorente | Registered representative | Oct 2017 (9y) | ||
| Andrea Ravalico | Registered representative | Nov 2017 (9y) | ||
| Gary Leigh Lenhart | Registered representative | Nov 2017 (9y) | ||
| Juan Roberto Castillo | Registered representative | Nov 2017 (9y) | ||
| Chad Stanley Thomas | Registered representative | Dec 2017 (9y) | ||
| Vincent Jeffrey Penn | Registered representative | Dec 2017 (9y) | ||
| Matthew Joseph Roche | Registered representative | Dec 2017 (9y) | ||
| Ron Hertzberg | Registered representative | Dec 2017 (9y) | ||
| Michelle Marie Najul | Registered representative | Dec 2017 (9y) | ||
| Vinita J Mehta | Registered representative | CFP | Dec 2017 (9y) | |
| Michelle Adler | Registered representative | Dec 2017 (9y) | ||
| Sam Lim | Registered representative | Dec 2017 (9y) | ||
| Larry B Bambico | Registered representative | Dec 2017 (9y) | ||
| Jay Backstrand | Registered representative | Dec 2017 (9y) | ||
| Yajaira Diaz Rocha | Registered representative | Dec 2017 (9y) | ||
| Maurizio Polcino | Registered representative | CFA | Dec 2017 (9y) | |
| Tony Lihuan Shen | Registered representative | Jan 2018 (9y) | ||
| Philippe R Malvett | Registered representative | Jan 2018 (9y) | ||
| Sonia Garcia Romero | Registered representative | Jan 2018 (9y) | ||
| Eric Delbert Stone | Registered representative | Feb 2018 (8y) | ||
| Diego Icaza Rode | Registered representative | Feb 2018 (8y) | ||
| James Gerard Nolan | Registered representative | Feb 2018 (8y) | ||
| Elijah Grant Goble | Registered representative | Mar 2018 (8y) | ||
| Michael Joseph Thigpen | Registered representative | Mar 2018 (8y) | ||
| Abiola Adetunji | Registered representative | Apr 2018 (8y) | ||
| Tyrone Mc Leod Wells | Registered representative | Apr 2018 (8y) | ||
| Marc Giamo | Registered representative | Apr 2018 (8y) | ||
| Brandon Bernardo | Registered representative | Apr 2018 (8y) | ||
| Daniel Stuart Cook | Registered representative | Apr 2018 (8y) | ||
| Nairon Karl Majeed | Registered representative | Apr 2018 (8y) | ||
| Gabriel Roberto Casal | Registered representative | Apr 2018 (8y) | ||
| Kristen Mountford | Registered representative | Apr 2018 (8y) | ||
| Michael Taylor Liddell | Registered representative | Apr 2018 (8y) | ||
| Lazaro Manuel Lemos Cordovez | Registered representative | May 2018 (8y) | ||
| David Young Kim | Registered representative | May 2018 (8y) | ||
| Jason J Brown | Registered representative | May 2018 (8y) | ||
| Florence Yagoda | Registered representative | May 2018 (8y) | ||
| Camila T Mercado | Registered representative | May 2018 (8y) | ||
| Anjana Sengupta | Registered representative | May 2018 (8y) | ||
| Herbert Theodore Cheesman | Registered representative | May 2018 (8y) | ||
| Victoria Adrienne Frazier | Registered representative | Jun 2018 (8y) | ||
| Miriam Cabrera | Registered representative | Jun 2018 (8y) | ||
| Paula Angeles Martinez | Registered representative | Jun 2018 (8y) | ||
| Sitsofe Akpene Amesawu | Registered representative | Jun 2018 (8y) | ||
| Felipe Robledo | Registered representative | Jun 2018 (8y) | ||
| Mauricio Enrique Llamosas | Registered representative | Jun 2018 (8y) | ||
| Eric Samuel Kreitzer | Registered representative | Jun 2018 (8y) | ||
| Douglas Vásquez | Registered representative | Jul 2018 (8y) | ||
| Edward John Dieguez | Registered representative | Jul 2018 (8y) | ||
| Ainslee Yu | Registered representative | Jul 2018 (8y) | ||
| Ana Carolina Rizzo | Registered representative | Jul 2018 (8y) | ||
| Angelina Siller | Registered representative | Jul 2018 (8y) | ||
| Samantha Lee | Registered representative | CFP | Jul 2018 (8y) | |
| Nadiya Kadirova | Registered representative | Aug 2018 (8y) | ||
| Lance Bylow | Registered representative | Aug 2018 (8y) | ||
| Morgan Morris | Registered representative | Aug 2018 (8y) | ||
| Robert Vincent Smith | Registered representative | Aug 2018 (8y) | ||
| Robert Baron | Registered representative | CFA | Aug 2018 (8y) | |
| Katie Strickberger | Registered representative | Aug 2018 (8y) | ||
| Matthew J. Rigoli | Registered representative | Aug 2018 (8y) | ||
| Marina Rodriguez | Registered representative | Sep 2018 (8y) | ||
| Melissa Fernanda Mantilla Gomez | Registered representative | Sep 2018 (8y) | ||
| Rodrigo Estevao Alencar | Registered representative | Sep 2018 (8y) | ||
| Frank A Arena | Registered representative | Sep 2018 (8y) | ||
| Michael Joseph Brown | Registered representative | CFP | Sep 2018 (8y) | |
| Michael David Hurst | Registered representative | Sep 2018 (8y) | ||
| Maribelda Fajardo Dhaliwal | Registered representative | Sep 2018 (8y) | ||
| Joseph Anderson | Registered representative | CFA | Sep 2018 (8y) | |
| Hipolito Claudio Rosario | Registered representative | Sep 2018 (8y) | ||
| James Patrick Murphy | Registered representative | Sep 2018 (8y) | ||
| Andrew Benjamen Schniers | Registered representative | Oct 2018 (8y) | ||
| Daniel Rodriguez Ortiz | Registered representative | Oct 2018 (8y) | ||
| Fernando Luis Gonzalez | Registered representative | Oct 2018 (8y) | ||
| Ellison Durana | Registered representative | Oct 2018 (8y) | ||
| Poonam Capitani | Registered representative | Oct 2018 (8y) | ||
| Johanna Mussche | Registered representative | Oct 2018 (8y) | ||
| Jaclyn Leighann Aure | Registered representative | Oct 2018 (8y) | ||
| Sarah Rose Woodward | Registered representative | Oct 2018 (8y) | ||
| Maria Beatriz Valdivieso | Registered representative | Oct 2018 (8y) | ||
| Dennis Joseph Mclaughlin | Registered representative | Oct 2018 (8y) | ||
| Diana Contreras | Registered representative | Nov 2018 (8y) | ||
| Patricia M Douglas | Registered representative | Nov 2018 (8y) | ||
| Stephen Thomas Zepeda | Registered representative | Nov 2018 (8y) | ||
| Daniel Romeo Bertuzzi | Registered representative | Nov 2018 (8y) | ||
| Sasha Lusha Zhu | Registered representative | Nov 2018 (8y) | ||
| Eduardo De La Fuente Hernandez | Registered representative | Nov 2018 (8y) | ||
| Lisa Malene Little | Registered representative | Nov 2018 (8y) | ||
| John William Fleetwood Chaldecott | Registered representative | Nov 2018 (8y) | ||
| Cody Hoffman | Registered representative | Dec 2018 (8y) | ||
| Mark Andrew Wittkamp | Registered representative | Dec 2018 (8y) | ||
| Americo Paez | Registered representative | Dec 2018 (8y) | ||
| Brett Andrew Burian | Registered representative | Jan 2019 (8y) | ||
| Dominique G Abou Zeid | Registered representative | Jan 2019 (8y) | ||
| Kenneth David Fliegel | Registered representative | Jan 2019 (8y) | ||
| Yoshiki Raymond Hirabayashi | Registered representative | Feb 2019 (7y) | ||
| Brandy Marie Beck | Registered representative | Feb 2019 (7y) | ||
| Daniel Marco Gasperini | Registered representative | Feb 2019 (7y) | ||
| Suhwan Jeong | Registered representative | Feb 2019 (7y) | ||
| Maria Paula Tenorio Useche | Registered representative | Feb 2019 (7y) | ||
| Carlos Henrique Mc Grath | Registered representative | Feb 2019 (7y) | ||
| Juan F Pereira Arenas | Registered representative | Mar 2019 (7y) | ||
| Jeffrey Tse Kuen Tong | Registered representative | Mar 2019 (7y) | ||
| Josue E Vargas | Registered representative | Mar 2019 (7y) | ||
| Natalie C Mc Govern (Papayannoulis) | Registered representative | Mar 2019 (7y) | ||
| Michelle Ming | Registered representative | Mar 2019 (7y) | ||
| Chi Yu Lu | Registered representative | Mar 2019 (7y) | ||
| Syed M Raza | Registered representative | Mar 2019 (7y) | ||
| Chen Xi Chung | Registered representative | Mar 2019 (7y) | ||
| Isabella Adlouni | Registered representative | Mar 2019 (7y) | ||
| Ashraf A Felix | Registered representative | Apr 2019 (7y) | ||
| Lisa Hunt | Registered representative | Apr 2019 (7y) | ||
| Erika Lauren Littlejohns | Registered representative | Apr 2019 (7y) | ||
| Felipe Restrepo | Registered representative | Apr 2019 (7y) | ||
| Joao Carlos Bastos | Registered representative | Apr 2019 (7y) | ||
| Nycole Loraine Sones | Registered representative | Apr 2019 (7y) | ||
| Juan Manuel Tolosa | Registered representative | May 2019 (7y) | ||
| Robin Joseph Naber | Registered representative | May 2019 (7y) | ||
| Carolyn Uriarte | Registered representative | May 2019 (7y) | ||
| Lorea Alvarez Trillas | Registered representative | May 2019 (7y) | ||
| Jacqueline Smith | Registered representative | May 2019 (7y) | ||
| Martin Gustavo Mangino | Registered representative | May 2019 (7y) | ||
| Pierre Couture | Registered representative | May 2019 (7y) | ||
| Matthew Hecht | Registered representative | May 2019 (7y) | ||
| Sefora Angeles | Registered representative | Jun 2019 (7y) | ||
| Nicholas Edward Caron | Registered representative | Jun 2019 (7y) | ||
| Pu Walpole | Registered representative | Jun 2019 (7y) | ||
| Ana Paula Ishikawa | Registered representative | Jun 2019 (7y) | ||
| Gislaine Cortez Puch | Registered representative | Jul 2019 (7y) | ||
| Adriana Carolina Aranguren | Registered representative | Jul 2019 (7y) | ||
| John E Emberger | Registered representative | Jul 2019 (7y) | ||
| Andrew Salvatore Catalano | Registered representative | Jul 2019 (7y) | ||
| Anna Christina Nieto | Registered representative | Jul 2019 (7y) | ||
| Kenny David Garcia | Registered representative | Jul 2019 (7y) | ||
| Jutta Brew | Registered representative | Jul 2019 (7y) | ||
| Ruben Perez | Registered representative | Jul 2019 (7y) | ||
| Justin Anthony Matarazzo | Registered representative | Jul 2019 (7y) | ||
| Mitchell Ryan Mccarthy | Registered representative | Jul 2019 (7y) | ||
| Tameka Tierra Galloway | Registered representative | Jul 2019 (7y) | ||
| Genti Qipo | Registered representative | Aug 2019 (7y) | ||
| Jerel Rodney Llanto Ona | Registered representative | Aug 2019 (7y) | ||
| David Giuffrida | Registered representative | Aug 2019 (7y) | ||
| Elizabeth Terrell | Registered representative | Aug 2019 (7y) | ||
| Michael Paul Yannell | Registered representative | Aug 2019 (7y) | ||
| Jessa C Shirman | Registered representative | Aug 2019 (7y) | ||
| Mariana Soledad Arbiza Costa | Registered representative | Aug 2019 (7y) | ||
| Sirimari Vargas Velez | Registered representative | Aug 2019 (7y) | ||
| Lena Thomas | Registered representative | Sep 2019 (7y) | ||
| Christopher Lukas Ramirez | Registered representative | Sep 2019 (7y) | ||
| Diego Moretti Xavier De Aguiar | Registered representative | Sep 2019 (7y) | ||
| Lawrence D Quinn | Registered representative | Sep 2019 (7y) | ||
| Robert Andrew Weiss | Registered representative | Sep 2019 (7y) | ||
| Marcia Marie Smith | Registered representative | Sep 2019 (7y) | ||
| Galen G Jang | Registered representative | Sep 2019 (7y) | ||
| Rafael D Mesquita | Registered representative | Oct 2019 (7y) | ||
| Rawan Khaled Elshair | Registered representative | Oct 2019 (7y) | ||
| Tania Paola Martinez | Registered representative | Oct 2019 (7y) | ||
| Alessio Fabri | Registered representative | Oct 2019 (7y) | ||
| Carol Ng | Registered representative | Oct 2019 (7y) | ||
| Bailey Hannah Nankin | Registered representative | Oct 2019 (7y) | ||
| James Cassidy Geiger | Registered representative | CFA | Oct 2019 (7y) | |
| Jason Andrew Molnar | Registered representative | CFP | Oct 2019 (7y) | |
| George Anthony Vera | Registered representative | Oct 2019 (7y) | ||
| Fernando Jose Casco Downing | Registered representative | Nov 2019 (7y) | ||
| Marshall Scott Lucas | Registered representative | Nov 2019 (7y) | ||
| Irene Tagarelli | Registered representative | Nov 2019 (7y) | ||
| India Thomson | Registered representative | Nov 2019 (7y) | ||
| Joseph Mitchell Cothron | Registered representative | Nov 2019 (7y) | ||
| Cassidy Lynn Doyle | Registered representative | Nov 2019 (7y) | ||
| Kevin Phillip Vega | Registered representative | Nov 2019 (7y) | ||
| Nicolas Alberto Pinto | Registered representative | Dec 2019 (7y) | ||
| Giesella Anne Earley | Registered representative | Dec 2019 (7y) | ||
| Anthony Manuel Martins | Registered representative | Dec 2019 (7y) | ||
| Basil Hussein | Registered representative | Dec 2019 (7y) | ||
| Manny Rafael Borras | Registered representative | Dec 2019 (7y) | ||
| Christopher Stier Byrne | Registered representative | Dec 2019 (7y) | ||
| Diego Alejandro Brachfeld Parlaghy | Registered representative | Dec 2019 (7y) | ||
| Semyon Toybis | Registered representative | Jan 2020 (7y) | ||
| Pushkar Murthy | Registered representative | CFA | Jan 2020 (7y) | |
| Tarik Mohamed Emara | Registered representative | CFA | Jan 2020 (7y) | |
| Benjamin Mark Garcia | Registered representative | Jan 2020 (7y) | ||
| Gregory Joseph Palumbo | Registered representative | Jan 2020 (7y) | ||
| Seondre Stell Carolina | Registered representative | Jan 2020 (7y) | ||
| Eric Justin Krasnov | Registered representative | Jan 2020 (7y) | ||
| Alexios Coscoros | Registered representative | Jan 2020 (7y) | ||
| Analicia Brocchetto | Registered representative | Jan 2020 (7y) | ||
| Justin Michael Grutzius | Registered representative | CFP | Jan 2020 (7y) | |
| Lailin L Chau | Registered representative | Jan 2020 (7y) | ||
| Federico Battaglia | Registered representative | Feb 2020 (6y) | ||
| Angela On Kei Lau | Registered representative | Feb 2020 (6y) | ||
| Jericho R Talusan | Registered representative | Feb 2020 (6y) | ||
| Eduardo Pieta | Registered representative | Feb 2020 (6y) | ||
| Matthew R Harrow | Registered representative | Feb 2020 (6y) | ||
| Andy Porcel | Registered representative | Feb 2020 (6y) | ||
| Michael David Remak | Registered representative | Feb 2020 (6y) | ||
| Elsa M Ramirez Gonzalez | Registered representative | Mar 2020 (6y) | ||
| Francisco Jesus Pages | Registered representative | Mar 2020 (6y) | ||
| Harlin S Urofsky | Registered representative | Mar 2020 (6y) | ||
| Louis J Monderine | Registered representative | Mar 2020 (6y) | ||
| Jason Paul Bonito | Registered representative | Mar 2020 (6y) | ||
| Diego Henrique Scheurich | Registered representative | Mar 2020 (6y) | ||
| Robert Jesus Diaz Lopez | Registered representative | Mar 2020 (6y) | ||
| Amber He | Registered representative | Mar 2020 (6y) | ||
| Jose M Dosal | Registered representative | Mar 2020 (6y) | ||
| Andrew K Greenhalgh | Registered representative | Mar 2020 (6y) | ||
| Justin Eric Morin | Registered representative | Mar 2020 (6y) | ||
| Peter Christopher Krieger | Registered representative | Mar 2020 (6y) | ||
| Tony Lee Wong | Registered representative | Mar 2020 (6y) | ||
| Elarsen Manez Flores | Registered representative | Mar 2020 (6y) | ||
| Timothy Craig Phillips | Registered representative | Mar 2020 (6y) | ||
| Ernesto Martin Paredes | Registered representative | Mar 2020 (6y) | ||
| Ying Sun | Registered representative | Mar 2020 (6y) | ||
| Bruce A Garber | Registered representative | Apr 2020 (6y) | ||
| Manuel Ramon Fernandez Ymaz | Registered representative | Apr 2020 (6y) | ||
| Enrique Ulloa | Registered representative | Apr 2020 (6y) | ||
| Maria De De La Cadena | Registered representative | Apr 2020 (6y) | ||
| Phillip Eugene De Golian | Registered representative | Apr 2020 (6y) | ||
| Larry W Zimmerman | Registered representative | Apr 2020 (6y) | ||
| Xinxin Guan | Registered representative | May 2020 (6y) | ||
| Darren Scott Taggart | Registered representative | May 2020 (6y) | ||
| Lizeth Jimenez | Registered representative | May 2020 (6y) | ||
| Jimmy Diaz | Registered representative | May 2020 (6y) | ||
| Ani Atnos | Registered representative | May 2020 (6y) | ||
| Anna Huiping Li | Registered representative | May 2020 (6y) | ||
| Andrew Wei Yang | Registered representative | May 2020 (6y) | ||
| Samphors Chea | Registered representative | May 2020 (6y) | ||
| Andrea Christine Bishara | Registered representative | May 2020 (6y) | ||
| Christopher Jonathan King | Registered representative | May 2020 (6y) | ||
| Rosalba Salinas | Registered representative | May 2020 (6y) | ||
| Yeznik Kazanjian | Registered representative | Jun 2020 (6y) | ||
| Timmy Pham | Registered representative | Jun 2020 (6y) | ||
| Michael Anthony Randone | Registered representative | Jun 2020 (6y) | ||
| Craig Robert Durso | Registered representative | Jun 2020 (6y) | ||
| Crystal Boi Duong | Registered representative | Jun 2020 (6y) | ||
| Hilary Mary Gellings | Registered representative | Jun 2020 (6y) | ||
| Afrin Ahmed | Registered representative | Jun 2020 (6y) | ||
| Justin R Draper | Registered representative | Jun 2020 (6y) | ||
| Victor Escobedo | Registered representative | Jun 2020 (6y) | ||
| Neil B Greenberger | Registered representative | Jun 2020 (6y) | ||
| Brittany Moriah Woo | Registered representative | Jul 2020 (6y) | ||
| Eleanor Mar | Registered representative | Jul 2020 (6y) | ||
| Justin Grant Golkowski | Registered representative | Jul 2020 (6y) | ||
| Alex Bedlitsky | Registered representative | Jul 2020 (6y) | ||
| Rita Lee | Registered representative | Jul 2020 (6y) | ||
| Joaquin Eduardo Gonzalez | Registered representative | Jul 2020 (6y) | ||
| Israel Thomas Jacob Rios | Registered representative | Jul 2020 (6y) | ||
| Rong Ling Lin | Registered representative | Jul 2020 (6y) | ||
| Sandra Mahecha | Registered representative | Jul 2020 (6y) | ||
| Charles Androsiglio | Registered representative | Jul 2020 (6y) | ||
| Jonathan Antunes | Registered representative | Jul 2020 (6y) | ||
| William Oscar Rivas | Registered representative | Aug 2020 (6y) | ||
| Ryan Frank Glatt | Registered representative | Aug 2020 (6y) | ||
| Ali Catalina Salazar | Registered representative | Aug 2020 (6y) | ||
| Ernesto Antonio Alvarez | Registered representative | Aug 2020 (6y) | ||
| Raymond Juarez | Registered representative | Aug 2020 (6y) | ||
| Lewis Cabrera | Registered representative | Aug 2020 (6y) | ||
| Huimin Judy Jiang | Registered representative | CFP | Aug 2020 (6y) | |
| Daniel Gordon Baer | Registered representative | Aug 2020 (6y) | ||
| Akop Kara Simonyan | Registered representative | Aug 2020 (6y) | ||
| Aleksandar Blagojevic | Registered representative | Aug 2020 (6y) | ||
| Crystal Lynn Lamar | Registered representative | Aug 2020 (6y) | ||
| Prachi Chittora | Registered representative | Sep 2020 (6y) | ||
| Mark Lawrence Hortizuela Cortez | Registered representative | Sep 2020 (6y) | ||
| Jina Hong | Registered representative | Sep 2020 (6y) | ||
| Matthew Vincent Michalak | Registered representative | Sep 2020 (6y) | ||
| Chantae Samanthia Reid | Registered representative | Sep 2020 (6y) | ||
| Sean Haney | Registered representative | Sep 2020 (6y) | ||
| Andreas P Kokkinos | Registered representative | Sep 2020 (6y) | ||
| Luis M Chevez | Registered representative | Sep 2020 (6y) | ||
| Mercedes Dels Herrera | Registered representative | Sep 2020 (6y) | ||
| Pablo Javier Luna | Registered representative | Sep 2020 (6y) | ||
| Zakir Banatwala | Registered representative | Sep 2020 (6y) | ||
| Danijela Mirkovic | Registered representative | Sep 2020 (6y) | ||
| Josalyn Veronica Madrigal | Registered representative | Oct 2020 (6y) | ||
| Alisha Sheikh | Registered representative | Oct 2020 (6y) | ||
| Kathy Ngoc Ha Lam | Registered representative | Oct 2020 (6y) | ||
| Kevin Garcia | Registered representative | Oct 2020 (6y) | ||
| Nubia Alvarenga | Registered representative | Oct 2020 (6y) | ||
| Marlene Eisen | Registered representative | Oct 2020 (6y) | ||
| Jasmine Jenay Adams | Registered representative | Oct 2020 (6y) | ||
| Zhenlin Lu | Registered representative | Oct 2020 (6y) | ||
| Aaron Joseph Strand | Registered representative | Oct 2020 (6y) | ||
| Javier Ramirez Carstens | Registered representative | Nov 2020 (6y) | ||
| Anthony Crimeni | Registered representative | Nov 2020 (6y) | ||
| David Tanner Collis | Registered representative | CFA | Nov 2020 (6y) | |
| Christina Bouphavan | Registered representative | Nov 2020 (6y) | ||
| Max Kimmel | Registered representative | Nov 2020 (6y) | ||
| Wai Yee Hijuelos | Registered representative | Nov 2020 (6y) | ||
| Carlos Antonio Dominguez Gil | Registered representative | Dec 2020 (6y) | ||
| Linna Wu | Registered representative | Dec 2020 (6y) | ||
| Patrick Allen Payton | Registered representative | Dec 2020 (6y) | ||
| Hanna Mary Harwood | Registered representative | Dec 2020 (6y) | ||
| Jianhong Zhou | Registered representative | Dec 2020 (6y) | ||
| Carl J Antifonario | Registered representative | Dec 2020 (6y) | ||
| Morgan Evan Matz | Registered representative | Dec 2020 (6y) | ||
| Ashton Elizabeth Schumacher | Registered representative | Dec 2020 (6y) | ||
| Sang Ngoc Le | Registered representative | Dec 2020 (6y) | ||
| Alina Akchurina | Registered representative | Dec 2020 (6y) | ||
| Nazanien Monasebian Knafo | Registered representative | Dec 2020 (6y) | ||
| Dominic Cheuk Him Lee | Registered representative | Dec 2020 (6y) | ||
| Sofia E Taveras | Registered representative | Jan 2021 (6y) | ||
| Robert Hercek | Registered representative | Jan 2021 (6y) | ||
| Sofia Margarita Zacarias | Registered representative | Jan 2021 (6y) | ||
| Anibal Matte | Registered representative | Jan 2021 (6y) | ||
| Sandino A Gonzalez | Registered representative | Jan 2021 (6y) | ||
| Timothy Campbell Anthony | Registered representative | Jan 2021 (6y) | ||
| Alfred J Natale | Registered representative | Jan 2021 (6y) | ||
| Jason Romeo | Registered representative | Feb 2021 (5y) | ||
| Marylu Escobar Nicholls | Registered representative | Feb 2021 (5y) | ||
| Benjamin Joseph Uribe | Registered representative | Feb 2021 (5y) | ||
| Robert Chadd Cornilles | Registered representative | Feb 2021 (5y) | ||
| Carlos Eduardo Fernandes | Registered representative | Feb 2021 (5y) | ||
| Kerry Knowles White | Registered representative | Feb 2021 (5y) | ||
| Chase Chris Payne | Registered representative | Feb 2021 (5y) | ||
| Zhenxing Lao | Registered representative | Mar 2021 (5y) | ||
| Diego Caceres | Registered representative | Mar 2021 (5y) | ||
| Natalia Alvarez Iragorri | Registered representative | Mar 2021 (5y) | ||
| Ryan James Agnew | Registered representative | Mar 2021 (5y) | ||
| Sherri Henry | Registered representative | Mar 2021 (5y) | ||
| Jeffrey B Locke | Registered representative | Mar 2021 (5y) | ||
| David Robert Harris | Registered representative | Apr 2021 (5y) | ||
| Andreina Rodriguez Confortti | Registered representative | Apr 2021 (5y) | ||
| Cenovio Dejesus Melendez | Registered representative | Apr 2021 (5y) | ||
| Abraham Bitton | Registered representative | Apr 2021 (5y) | ||
| David Lowenstein | Registered representative | Apr 2021 (5y) | ||
| Anthony Dibisceglie | Registered representative | Apr 2021 (5y) | ||
| Lilliam Fernandez | Registered representative | Apr 2021 (5y) | ||
| Felipe Mendonca Alvares | Registered representative | Apr 2021 (5y) | ||
| Lawrence R Kigin | Registered representative | Apr 2021 (5y) | ||
| Oluseun Adeyemi | Registered representative | May 2021 (5y) | ||
| Larry Phan | Registered representative | May 2021 (5y) | ||
| Michael Ziegler | Registered representative | May 2021 (5y) | ||
| Eduardo Franca De Macedo | Registered representative | May 2021 (5y) | ||
| Nagiba Gloriela Saheli Romero | Registered representative | May 2021 (5y) | ||
| Katie M. Angelino | Registered representative | May 2021 (5y) | ||
| Katarina Milojevic | Registered representative | May 2021 (5y) | ||
| Ryan Thomas Long | Registered representative | May 2021 (5y) | ||
| Sandra Martin | Registered representative | May 2021 (5y) | ||
| Joseph Galloway | Registered representative | May 2021 (5y) | ||
| Jose Luis Bejines | Registered representative | May 2021 (5y) | ||
| Tiffany Nouri Cohen | Registered representative | Jun 2021 (5y) | ||
| Neetul K Sharma | Registered representative | Jun 2021 (5y) | ||
| Garrett H Berry | Registered representative | Jun 2021 (5y) | ||
| Pierre Bitar | Registered representative | Jun 2021 (5y) | ||
| Joseph Mastronardi | Registered representative | Jun 2021 (5y) | ||
| Kailey Nicole Henry | Registered representative | Jun 2021 (5y) | ||
| Alexander Brett Gennaro | Registered representative | Jun 2021 (5y) | ||
| Sean Patrick Sullivan | Registered representative | Jun 2021 (5y) | ||
| Hui Chen Chen | Registered representative | Jun 2021 (5y) | ||
| Margaret Malone | Registered representative | Jun 2021 (5y) | ||
| Lorraine Kurtz | Registered representative | Jun 2021 (5y) | ||
| Antonio Henrique Alves | Registered representative | Jun 2021 (5y) | ||
| Jordan L Botvinik | Registered representative | Jul 2021 (5y) | ||
| Marcos Tironi Pace | Registered representative | Jul 2021 (5y) | ||
| Brunilda Veliu | Registered representative | Jul 2021 (5y) | ||
| Ethan Konigsberg | Registered representative | Jul 2021 (5y) | ||
| Garrett William Leahy | Registered representative | Jul 2021 (5y) | ||
| Jack Horng Ko | Registered representative | Jul 2021 (5y) | ||
| Guang Yao Li | Registered representative | Jul 2021 (5y) | ||
| Francisco Vergara Hermosilla | Registered representative | Jul 2021 (5y) | ||
| Gonzalo Martin Delgado Caymes | Registered representative | CFA | Jul 2021 (5y) | |
| Brenna Deveraux Makin | Registered representative | Jul 2021 (5y) | ||
| Marcos A Baruffi | Registered representative | Jul 2021 (5y) | ||
| Brenda M Pokojowczyk Smith | Registered representative | Jul 2021 (5y) | ||
| Jorge Antonio Bastarrachea Gutierrez | Registered representative | Jul 2021 (5y) | ||
| Yuet Fu Lee | Registered representative | Jul 2021 (5y) | ||
| Jeffrey J. Fahs | Registered representative | Jul 2021 (5y) | ||
| Amarilis Larragoity | Registered representative | Aug 2021 (5y) | ||
| Fabian Whitney Chichester | Registered representative | Aug 2021 (5y) | ||
| Aaron S Young | Registered representative | Aug 2021 (5y) | ||
| Adam Matthew Kramer | Registered representative | Aug 2021 (5y) | ||
| Adiz Fernandez | Registered representative | Aug 2021 (5y) | ||
| Alaina Spilkevitz | Registered representative | Aug 2021 (5y) | ||
| Aleksandr Yunusov | Registered representative | Aug 2021 (5y) | ||
| Allyne Miranda Pascoal | Registered representative | Aug 2021 (5y) | ||
| Andres E Salgado | Registered representative | Aug 2021 (5y) | ||
| Andrew Joseph Barnes | Registered representative | Aug 2021 (5y) | ||
| Andrzej Kaluta | Registered representative | Aug 2021 (5y) | ||
| Angela Romeo | Registered representative | Aug 2021 (5y) | ||
| Anthony A Giannopapas | Registered representative | Aug 2021 (5y) | ||
| Anthony Joseph Cerulli | Registered representative | Aug 2021 (5y) | ||
| Anthony Michael Apicella | Registered representative | Aug 2021 (5y) | ||
| Ashok Kumar Choudhary | Registered representative | Aug 2021 (5y) | ||
| Alvaro Veloso Cabral | Registered representative | Aug 2021 (5y) | ||
| Antonina Vicari | Registered representative | Aug 2021 (5y) | ||
| Benjamin Michael Newman | Registered representative | Aug 2021 (5y) | ||
| Calvin Geeyoung Lem | Registered representative | Aug 2021 (5y) | ||
| Carolina Ng | Registered representative | Aug 2021 (5y) | ||
| Caroline Ross Galdabini | Registered representative | Aug 2021 (5y) | ||
| Charissa A Kerestesy | Registered representative | Aug 2021 (5y) | ||
| Christina Sofia Morales | Registered representative | Aug 2021 (5y) | ||
| Christine M Murray | Registered representative | Aug 2021 (5y) | ||
| Christopher Herridge Rusk | Registered representative | Aug 2021 (5y) | ||
| Christopher Thomas Simone | Registered representative | Aug 2021 (5y) | ||
| Corey A Smith | Registered representative | Aug 2021 (5y) | ||
| Cristian Taveras | Registered representative | Aug 2021 (5y) | ||
| Carissa A Luna | Registered representative | Aug 2021 (5y) | ||
| Carlos M Villar | Registered representative | Aug 2021 (5y) | ||
| Christopher Doherty | Registered representative | Aug 2021 (5y) | ||
| Daniel George Marquardt | Registered representative | Aug 2021 (5y) | ||
| Daniel J Kim | Registered representative | Aug 2021 (5y) | ||
| Daniel P Conforti | Registered representative | Aug 2021 (5y) | ||
| Daniel Zhao | Registered representative | Aug 2021 (5y) | ||
| David Carl Massa | Registered representative | Aug 2021 (5y) | ||
| David F Llanos | Registered representative | Aug 2021 (5y) | ||
| David Y Skurowitz | Registered representative | Aug 2021 (5y) | ||
| Dawn Ma Patak | Registered representative | Aug 2021 (5y) | ||
| Dominick John Angione | Registered representative | Aug 2021 (5y) | ||
| Donna Marie Mannarino | Registered representative | Aug 2021 (5y) | ||
| Dygoro Atariguana | Registered representative | Aug 2021 (5y) | ||
| Edwin Castro | Registered representative | Aug 2021 (5y) | ||
| Ernest William Infante | Registered representative | Aug 2021 (5y) | ||
| Francesco Cucuzza | Registered representative | Aug 2021 (5y) | ||
| Frank Joseph Romano | Registered representative | Aug 2021 (5y) | ||
| Giuseppe S Ferrucci | Registered representative | Aug 2021 (5y) | ||
| Gonzalo Gerardo Blanco | Registered representative | Aug 2021 (5y) | ||
| Hai Xia Wang | Registered representative | Aug 2021 (5y) | ||
| Hau Ling Cheng | Registered representative | Aug 2021 (5y) | ||
| Hugo Real | Registered representative | Aug 2021 (5y) | ||
| Igor Balyasniy | Registered representative | Aug 2021 (5y) | ||
| Ilya Gindin | Registered representative | Aug 2021 (5y) | ||
| Igor Gennadievich Bereznitski | Registered representative | Aug 2021 (5y) | ||
| James Jedlicka | Registered representative | Aug 2021 (5y) | ||
| James Warren Nicolaidis | Registered representative | Aug 2021 (5y) | ||
| Jarrett S Hovland | Registered representative | Aug 2021 (5y) | ||
| Jason M Nieves | Registered representative | Aug 2021 (5y) | ||
| Jayson Alexander Tenorio | Registered representative | Aug 2021 (5y) | ||
| Jeff Werner | Registered representative | Aug 2021 (5y) | ||
| Jeffrey Scott Kramer | Registered representative | Aug 2021 (5y) | ||
| Jin Wen Lin | Registered representative | Aug 2021 (5y) | ||
| Jitash J Puri | Registered representative | Aug 2021 (5y) | ||
| Joel Christopher Basciani | Registered representative | Aug 2021 (5y) | ||
| John Michael Fauci | Registered representative | Aug 2021 (5y) | ||
| Jose R Baez | Registered representative | Aug 2021 (5y) | ||
| Joseph H Yang | Registered representative | Aug 2021 (5y) | ||
| Joseph Karcic | Registered representative | Aug 2021 (5y) | ||
| Joshua Michael Kroitor | Registered representative | Aug 2021 (5y) | ||
| Josin Lin | Registered representative | Aug 2021 (5y) | ||
| Jackson Causey Bloom | Registered representative | Aug 2021 (5y) | ||
| Jeames Junior Castillo | Registered representative | Aug 2021 (5y) | ||
| Jian Liu | Registered representative | Aug 2021 (5y) | ||
| Juan Eduardo Ramos | Registered representative | Aug 2021 (5y) | ||
| Kathrina S Mapoy | Registered representative | Aug 2021 (5y) | ||
| Keith Wong | Registered representative | Aug 2021 (5y) | ||
| Kelly H Fung | Registered representative | Aug 2021 (5y) | ||
| Khuong Bao Chau | Registered representative | Aug 2021 (5y) | ||
| Kim Linh Lu | Registered representative | Aug 2021 (5y) | ||
| Kristen Bitterly | Registered representative | Aug 2021 (5y) | ||
| Kristin Victoria Persad | Registered representative | Aug 2021 (5y) | ||
| Kevin Robert Cohen | Registered representative | Aug 2021 (5y) | ||
| Lenard Anthony Reives | Registered representative | Aug 2021 (5y) | ||
| Leonardo F Renna | Registered representative | Aug 2021 (5y) | ||
| Lidia Velazquez | Registered representative | CFP | Aug 2021 (5y) | |
| Lily Lin | Registered representative | Aug 2021 (5y) | ||
| Lily Tanzil Onne | Registered representative | Aug 2021 (5y) | ||
| Lisandro Martin Enferri | Registered representative | Aug 2021 (5y) | ||
| Loron L Traina | Registered representative | Aug 2021 (5y) | ||
| Marcos A Cabral | Registered representative | Aug 2021 (5y) | ||
| Mark Noble Maxson | Registered representative | Aug 2021 (5y) | ||
| Marshall Evan Green | Registered representative | Aug 2021 (5y) | ||
| Martin Augustine Moy | Registered representative | CFP | Aug 2021 (5y) | |
| Matthew Bryan Sanders | Registered representative | Aug 2021 (5y) | ||
| Michael Cannone | Registered representative | Aug 2021 (5y) | ||
| Michael Gomez | Registered representative | Aug 2021 (5y) | ||
| Michael Lynch | Registered representative | CFA | Aug 2021 (5y) | |
| Michael Monteverde | Registered representative | Aug 2021 (5y) | ||
| Michael Thomas Collins | Registered representative | Aug 2021 (5y) | ||
| Montaha Khatib | Registered representative | Aug 2021 (5y) | ||
| Maria Elena Quinteros | Registered representative | Aug 2021 (5y) | ||
| Melissa Narine | Registered representative | Aug 2021 (5y) | ||
| Nadezda Del Pozo | Registered representative | Aug 2021 (5y) | ||
| Nargis S Sathi | Registered representative | Aug 2021 (5y) | ||
| Natalia Grisales | Registered representative | Aug 2021 (5y) | ||
| Olga Stroganova | Registered representative | Aug 2021 (5y) | ||
| Patrick Gerard Manzi | Registered representative | Aug 2021 (5y) | ||
| Phillip Duffy | Registered representative | Aug 2021 (5y) | ||
| Rachel Anne Stancati | Registered representative | Aug 2021 (5y) | ||
| Ravi Adimoolam | Registered representative | Aug 2021 (5y) | ||
| Rita Ciero | Registered representative | Aug 2021 (5y) | ||
| Robert Fallone | Registered representative | Aug 2021 (5y) | ||
| Royan Ramkissoon | Registered representative | Aug 2021 (5y) | ||
| Rui Su | Registered representative | Aug 2021 (5y) | ||
| Satrohan Heeralall | Registered representative | Aug 2021 (5y) | ||
| Saumya Ann Daniel | Registered representative | Aug 2021 (5y) | ||
| Sean James Tierney | Registered representative | Aug 2021 (5y) | ||
| Sean Michael Broderick | Registered representative | Aug 2021 (5y) | ||
| Sergiy Mizevych | Registered representative | Aug 2021 (5y) | ||
| Shawn Marcel Martin | Registered representative | Aug 2021 (5y) | ||
| Shihhua Wang | Registered representative | Aug 2021 (5y) | ||
| Sandra M Rojas | Registered representative | Aug 2021 (5y) | ||
| Scott C Bolio | Registered representative | Aug 2021 (5y) | ||
| Sylvan Jonathan Garfunkel | Registered representative | Aug 2021 (5y) | ||
| Teofilo Rojas | Registered representative | Aug 2021 (5y) | ||
| Terry Junzhu Zhang | Registered representative | Aug 2021 (5y) | ||
| Thomas Edwin Moran | Registered representative | Aug 2021 (5y) | ||
| Tuo Sheng Mei | Registered representative | Aug 2021 (5y) | ||
| Wayne Tang | Registered representative | Aug 2021 (5y) | ||
| Weal S Goma Androus | Registered representative | Aug 2021 (5y) | ||
| Wendy Birkett | Registered representative | Aug 2021 (5y) | ||
| William G Nastasi | Registered representative | Aug 2021 (5y) | ||
| Xing Hong Ma | Registered representative | Aug 2021 (5y) | ||
| Xin Cheng Mai | Registered representative | Aug 2021 (5y) | ||
| Yi Zh Wang | Registered representative | Aug 2021 (5y) | ||
| Yin Fong Chu | Registered representative | Aug 2021 (5y) | ||
| Yukiko Watabe Ushijima | Registered representative | Aug 2021 (5y) | ||
| Zhuobei Deng | Registered representative | Aug 2021 (5y) | ||
| Zhuojie Liu | Registered representative | Aug 2021 (5y) | ||
| Joel Dylan Nielsen | Registered representative | Aug 2021 (5y) | ||
| Mosi Li | Registered representative | CFA | Aug 2021 (5y) | |
| Aroldo Balbino | Registered representative | Aug 2021 (5y) | ||
| Hubert Nhan | Registered representative | Aug 2021 (5y) | ||
| Timothy K Malon | Registered representative | Aug 2021 (5y) | ||
| Gyungnam Kang | Registered representative | Aug 2021 (5y) | ||
| Hazel Aguilar | Registered representative | Sep 2021 (5y) | ||
| Sahil Kumar Varma | Registered representative | Sep 2021 (5y) | ||
| Beverly Lisa Wilson Mckenzie | Registered representative | Sep 2021 (5y) | ||
| Carlton Light | Registered representative | Sep 2021 (5y) | ||
| Jericho Alexander Borges | Registered representative | Sep 2021 (5y) | ||
| Adriana Isabel Rondon Richards | Registered representative | Sep 2021 (5y) | ||
| Colleen Langlais | Registered representative | Sep 2021 (5y) | ||
| Francisco P Segarra | Registered representative | Sep 2021 (5y) | ||
| Heather L Rich | Registered representative | Sep 2021 (5y) | ||
| Kathleen Ann Kuhn | Registered representative | Sep 2021 (5y) | ||
| Luis Daniel Juarez Reyes | Registered representative | Sep 2021 (5y) | ||
| Rita Katherine Huang | Registered representative | Sep 2021 (5y) | ||
| Sean Howard | Registered representative | Sep 2021 (5y) | ||
| Timothy Joseph Sullivan | Registered representative | Sep 2021 (5y) | ||
| Yu Qiao | Registered representative | Sep 2021 (5y) | ||
| Mateo Eduardo Romero Riveros | Registered representative | Sep 2021 (5y) | ||
| Maria Veronica Marcano Pereira | Registered representative | CFA | Sep 2021 (5y) | |
| Ana Rosa Jacquez Rodarte | Registered representative | Sep 2021 (5y) | ||
| Jose Maria Vergara Gonzalez | Registered representative | Sep 2021 (5y) | ||
| Georgia Sophia Mouzakis | Registered representative | CFP | Sep 2021 (5y) | |
| Richard H Moorhead | Registered representative | Sep 2021 (5y) | ||
| Wanjia Li | Registered representative | Sep 2021 (5y) | ||
| Raul Fornet | Registered representative | Sep 2021 (5y) | ||
| Richard Knuth | Registered representative | Sep 2021 (5y) | ||
| Jose Fernando Mesa Tejada | Registered representative | CFA | Sep 2021 (5y) | |
| Melvin Tom | Registered representative | Sep 2021 (5y) | ||
| Raffaele Prospero | Registered representative | Sep 2021 (5y) | ||
| Michael Schwartz | Registered representative | Sep 2021 (5y) | ||
| Rosangela Dutra | Registered representative | Sep 2021 (5y) | ||
| Carlos Ortiz | Registered representative | Sep 2021 (5y) | ||
| Zachary Evan Wilkes | Registered representative | Oct 2021 (5y) | ||
| Christopher Michael Cruz | Registered representative | Oct 2021 (5y) | ||
| Charles Edward Albinger | Registered representative | Oct 2021 (5y) | ||
| Carlos Morlote | Registered representative | Oct 2021 (5y) | ||
| Alexander James Randolph | Registered representative | Oct 2021 (5y) | ||
| Michael Mcmillan | Registered representative | Oct 2021 (5y) | ||
| Scott Douglas Samuels | Registered representative | Nov 2021 (5y) | ||
| Dustin John Triesch | Registered representative | Nov 2021 (5y) | ||
| Deborah Zulma Menjivar | Registered representative | Nov 2021 (5y) | ||
| Daniel Barone | Registered representative | Nov 2021 (5y) | ||
| Hector Julio Roche | Registered representative | Nov 2021 (5y) | ||
| Jamie Alexander Schemmel | Registered representative | Nov 2021 (5y) | ||
| Gannon Patrick Morrison | Registered representative | Nov 2021 (5y) | ||
| Alberto Magliozzi | Registered representative | Nov 2021 (5y) | ||
| Clive Vernon Dixon | Registered representative | Nov 2021 (5y) | ||
| James Pijuan | Registered representative | Nov 2021 (5y) | ||
| Christopher R Distaulo | Registered representative | Nov 2021 (5y) | ||
| Fabian M Palomino | Registered representative | Nov 2021 (5y) | ||
| Jason L Levene | Registered representative | Nov 2021 (5y) | ||
| Bogdana Sokolov | Registered representative | Nov 2021 (5y) | ||
| Dylan Squeo | Registered representative | Nov 2021 (5y) | ||
| Jason Collins | Registered representative | Dec 2021 (5y) | ||
| Pavitra Maharaj | Registered representative | Dec 2021 (5y) | ||
| Tiago Sardeli | Registered representative | Dec 2021 (5y) | ||
| Nina Dinicuolo | Registered representative | Dec 2021 (5y) | ||
| Ah Jin Cho | Registered representative | Dec 2021 (5y) | ||
| Mario Somarriba | Registered representative | Dec 2021 (5y) | ||
| Anthony Neil Roderick | Registered representative | Dec 2021 (5y) | ||
| Phyllis Afriyie | Registered representative | Dec 2021 (5y) | ||
| Robert Truere Bryan | Registered representative | Dec 2021 (5y) | ||
| Sherise Scott | Registered representative | Dec 2021 (5y) | ||
| Tara Hung Peng | Registered representative | Dec 2021 (5y) | ||
| Elena Mirosnicenco | Registered representative | Dec 2021 (5y) | ||
| Annie Zhang | Registered representative | Dec 2021 (5y) | ||
| Anthony Robert Crisp | Registered representative | CFA | Dec 2021 (5y) | |
| Brendon Patrick Roth | Registered representative | Dec 2021 (5y) | ||
| Matthew John Cashel | Registered representative | Dec 2021 (5y) | ||
| Ted Ryoo | Registered representative | Dec 2021 (5y) | ||
| Michael Julian Meyer | Registered representative | Dec 2021 (5y) | ||
| Andrew Reding Marshall | Registered representative | CFA | Dec 2021 (5y) | |
| Lucette Calas | Registered representative | Dec 2021 (5y) | ||
| Emily Wasco | Registered representative | Jan 2022 (5y) | ||
| Kristina Sencion | Registered representative | Jan 2022 (5y) | ||
| Ryan Montgomery | Registered representative | Jan 2022 (5y) | ||
| Shawn Mark Hoke | Registered representative | Jan 2022 (5y) | ||
| Yuting Zong Patterson | Registered representative | CFA | Jan 2022 (5y) | |
| Austin Andrews | Registered representative | Jan 2022 (5y) | ||
| Lisa Purville | Registered representative | Jan 2022 (5y) | ||
| Tony Wang | Registered representative | Jan 2022 (5y) | ||
| John R Anderson | Registered representative | Jan 2022 (5y) | ||
| Darek Williams | Registered representative | Jan 2022 (5y) | ||
| Myrna Nasser | Registered representative | Jan 2022 (5y) | ||
| Mai Nghiem | Registered representative | Jan 2022 (5y) | ||
| Kevin Patrick Mcdermott | Registered representative | Jan 2022 (5y) | ||
| Richard Joseph Burkimsher | Registered representative | Jan 2022 (5y) | ||
| Hector Daniel Romero | Registered representative | Jan 2022 (5y) | ||
| Karina Elizabeth Morales Medina | Registered representative | Jan 2022 (5y) | ||
| Ryan Thomas Mc Caffery | Registered representative | Jan 2022 (5y) | ||
| Yiyan Yeung | Registered representative | CFA | Jan 2022 (5y) | |
| Idalia Rosibel Lemus | Registered representative | Jan 2022 (5y) | ||
| Ana Claudia Carvalho Ribeiro | Registered representative | Jan 2022 (5y) | ||
| Darius A Brummell | Registered representative | Jan 2022 (5y) | ||
| Keaten Landis | Registered representative | Jan 2022 (5y) | ||
| Michael J Flynn | Registered representative | Jan 2022 (5y) | ||
| Leonardo Stivelman | Registered representative | Jan 2022 (5y) | ||
| Michael Angelo Amato | Registered representative | Jan 2022 (5y) | ||
| Ariell Necole Van Tornhout | Registered representative | Jan 2022 (5y) | ||
| Emilton Lopez | Registered representative | Jan 2022 (5y) | ||
| Robert Matthew Sadberry | Registered representative | Jan 2022 (5y) | ||
| Holvyn Montalvo | Registered representative | Jan 2022 (5y) | ||
| Jorge Alzaga | Registered representative | Jan 2022 (5y) | ||
| Steven Forde | Registered representative | Jan 2022 (5y) | ||
| Deborah Blanc Velez | Registered representative | Jan 2022 (5y) | ||
| Genna De Maria Luisi | Registered representative | Jan 2022 (5y) | ||
| Christopher Kenneth Frydenborg | Registered representative | Feb 2022 (5y) | ||
| Jonathan Tadashi Lee | Registered representative | Feb 2022 (5y) | ||
| Adriana Chavez De La Pena | Registered representative | Feb 2022 (4y) | ||
| Sofia Mondragon Castillo | Registered representative | Feb 2022 (4y) | ||
| James Walter Quaider | Registered representative | Feb 2022 (4y) | ||
| Siulun Leung | Registered representative | Feb 2022 (4y) | ||
| Ankit Ushir Choksi | Registered representative | CFA | Feb 2022 (4y) | |
| Diego Recht | Registered representative | Feb 2022 (4y) | ||
| Jacob Paul Neuhofer | Registered representative | Feb 2022 (4y) | ||
| Rustam Nazirbaev | Registered representative | Feb 2022 (4y) | ||
| Xiaojie Chen | Registered representative | Feb 2022 (4y) | ||
| Juan Ramon Guzman | Registered representative | Feb 2022 (4y) | ||
| Margaret Adrienne Florcruz | Registered representative | Feb 2022 (4y) | ||
| Mitchell Corey Smith | Registered representative | Feb 2022 (4y) | ||
| Paul John Scarpelli | Registered representative | Feb 2022 (4y) | ||
| Isaiah N Johnson | Registered representative | Feb 2022 (4y) | ||
| Sarah Glenn Evans Waters | Registered representative | Feb 2022 (4y) | ||
| Dillon Mc Nulty | Registered representative | Feb 2022 (4y) | ||
| Maximiliano Luis Concepcion | Registered representative | Feb 2022 (4y) | ||
| Jimmy Mauricio Torres | Registered representative | Feb 2022 (4y) | ||
| Jesus Perez | Registered representative | Feb 2022 (4y) | ||
| Robert Hearn | Registered representative | Feb 2022 (4y) | ||
| David Han | Registered representative | Mar 2022 (4y) | ||
| Edward Pejanovic | Registered representative | Mar 2022 (4y) | ||
| Elaine C Freeman | Registered representative | Mar 2022 (4y) | ||
| Jia Bao Ye | Registered representative | Mar 2022 (4y) | ||
| Maria G Largaespada | Registered representative | Mar 2022 (4y) | ||
| John Michael Stefanidis | Registered representative | Mar 2022 (4y) | ||
| Maria Ana Linares | Registered representative | Mar 2022 (4y) | ||
| Michael Eric Rosell | Registered representative | Mar 2022 (4y) | ||
| Brian Mack | Registered representative | Mar 2022 (4y) | ||
| Joseph Kroll | Registered representative | Mar 2022 (4y) | ||
| Icaro Kaue De Santana Pazeti | Registered representative | Mar 2022 (4y) | ||
| Brian E Brennan | Registered representative | Mar 2022 (4y) | ||
| Michael Calabrese | Registered representative | CFP | Mar 2022 (4y) | |
| Michael Hill | Registered representative | Mar 2022 (4y) | ||
| Anthony J Speranza | Registered representative | Mar 2022 (4y) | ||
| Andrew Barak Cecil | Registered representative | Mar 2022 (4y) | ||
| Andre Alistair Reichenstein | Registered representative | Mar 2022 (4y) | ||
| Marcel Pereira | Registered representative | Mar 2022 (4y) | ||
| Lydia B. Hardy | Registered representative | Mar 2022 (4y) | ||
| Isaiah Lavarr Williams | Registered representative | Mar 2022 (4y) | ||
| Jason Matthew Kozoloski | Registered representative | Mar 2022 (4y) | ||
| Tarina Rosemarie Rodgers | Registered representative | Mar 2022 (4y) | ||
| William Justin Zand | Registered representative | Mar 2022 (4y) | ||
| Hae Jung Kim | Registered representative | Mar 2022 (4y) | ||
| Matthew Vazquez | Registered representative | CFA | Mar 2022 (4y) | |
| Sanjay S Benegal | Registered representative | Apr 2022 (4y) | ||
| Christian Lee Colling | Registered representative | Apr 2022 (4y) | ||
| Julie E Bennett | Registered representative | Apr 2022 (4y) | ||
| Kimberly Chessler | Registered representative | Apr 2022 (4y) | ||
| Marlen Katz | Registered representative | Apr 2022 (4y) | ||
| Wilson Fung | Registered representative | Apr 2022 (4y) | ||
| Aileen L. Michalec | Registered representative | Apr 2022 (4y) | ||
| Andrea Maria Ortiz | Registered representative | Apr 2022 (4y) | ||
| Fradjihaidavid Zeitoun | Registered representative | Apr 2022 (4y) | ||
| Federico Barinci | Registered representative | Apr 2022 (4y) | ||
| Ming Wai Connie Kwok | Registered representative | Apr 2022 (4y) | ||
| Nubia T Pricci | Registered representative | Apr 2022 (4y) | ||
| Patrick Hagar | Registered representative | Apr 2022 (4y) | ||
| Caroline Grace Spitkovsky | Registered representative | Apr 2022 (4y) | ||
| Srdan Stojic | Registered representative | Apr 2022 (4y) | ||
| Tara Maureen King | Registered representative | Apr 2022 (4y) | ||
| Arseniy Zhukov | Registered representative | Apr 2022 (4y) | ||
| Tasha Denise Mcnealy | Registered representative | Apr 2022 (4y) | ||
| Maria De Lourdes Blotner | Registered representative | Apr 2022 (4y) | ||
| Brenda Crump | Registered representative | Apr 2022 (4y) | ||
| Richard Jerelds | Registered representative | Apr 2022 (4y) | ||
| Matthew Owen Reagan | Registered representative | Apr 2022 (4y) | ||
| Jellur Rahman | Registered representative | Apr 2022 (4y) | ||
| Emily Keller Lewis | Registered representative | Apr 2022 (4y) | ||
| Ronnie A Galindo | Registered representative | Apr 2022 (4y) | ||
| Weirong Zhang | Registered representative | Apr 2022 (4y) | ||
| Cindy Xiuchan Li | Registered representative | Apr 2022 (4y) | ||
| Erin Donofrio | Registered representative | Apr 2022 (4y) | ||
| Liwen Li | Registered representative | CFA | Apr 2022 (4y) | |
| Robert Wrage | Registered representative | Apr 2022 (4y) | ||
| William G Calaca | Registered representative | Apr 2022 (4y) | ||
| Katherine Sanjuan | Registered representative | Apr 2022 (4y) | ||
| Maria Flora Algarate | Registered representative | Apr 2022 (4y) | ||
| Wendy Delp | Registered representative | Apr 2022 (4y) | ||
| Frederick Hess | Registered representative | May 2022 (4y) | ||
| John Paul Fagoni | Registered representative | May 2022 (4y) | ||
| Oliver Abel | Registered representative | May 2022 (4y) | ||
| Martin Galvez | Registered representative | May 2022 (4y) | ||
| Juan Galaviz | Registered representative | May 2022 (4y) | ||
| Brendan Grant Doherty | Registered representative | May 2022 (4y) | ||
| James Patten | Registered representative | May 2022 (4y) | ||
| Lavendel Dee Williams | Registered representative | May 2022 (4y) | ||
| Shirly Marilyn Galvis | Registered representative | May 2022 (4y) | ||
| Alvaro Julio Madero | Registered representative | CFA | May 2022 (4y) | |
| Clifford Muzik | Registered representative | May 2022 (4y) | ||
| Gabriela T Mercado Candia | Registered representative | May 2022 (4y) | ||
| Simon Daniel Skrelja | Registered representative | May 2022 (4y) | ||
| Theresa Lynn Kennedy | Registered representative | May 2022 (4y) | ||
| Rashad A Bekirov | Registered representative | May 2022 (4y) | ||
| Xinyu Zhang | Registered representative | May 2022 (4y) | ||
| Matias Mangas | Registered representative | May 2022 (4y) | ||
| Daniel K Simidian | Registered representative | May 2022 (4y) | ||
| Albert Won Kim | Registered representative | CFP | May 2022 (4y) | |
| Holland Arthur Sullivan | Registered representative | May 2022 (4y) | ||
| Jeffery W. Leathers | Registered representative | May 2022 (4y) | ||
| Sylvan Gomez | Registered representative | May 2022 (4y) | ||
| Eric Michael Lathrop | Registered representative | May 2022 (4y) | ||
| Stefano Gambirazio | Registered representative | May 2022 (4y) | ||
| Dawn Suzette Padgett | Registered representative | May 2022 (4y) | ||
| John Male | Registered representative | CFP | May 2022 (4y) | |
| Mainul Hassan | Registered representative | May 2022 (4y) | ||
| Zachary Janoff Weinstein | Registered representative | May 2022 (4y) | ||
| Brian W. De Lisi | Registered representative | CFA | May 2022 (4y) | |
| Miraj Patel | Registered representative | May 2022 (4y) | ||
| Laura Elizabeth Dowe | Registered representative | Jun 2022 (4y) | ||
| Roberto Alexander Montiel | Registered representative | Jun 2022 (4y) | ||
| Benjamin Price | Registered representative | Jun 2022 (4y) | ||
| Qi Wang | Registered representative | CFA | Jun 2022 (4y) | |
| Xiomara Melissa Avecillas | Registered representative | Jun 2022 (4y) | ||
| Prabhjit Kaur Hayer | Registered representative | Jun 2022 (4y) | ||
| Ben Jamin Ethan Wooten | Registered representative | Jun 2022 (4y) | ||
| Daniel T. Devonald | Registered representative | Jun 2022 (4y) | ||
| Dongyue Lyu | Registered representative | Jun 2022 (4y) | ||
| Emilio Jose La Fontaine | Registered representative | Jun 2022 (4y) | ||
| Federico Mercado | Registered representative | Jun 2022 (4y) | ||
| Adrian Ferrero Asensio | Registered representative | Jun 2022 (4y) | ||
| Daniel Sinan Aytekin | Registered representative | Jun 2022 (4y) | ||
| Jose Piquero | Registered representative | Jun 2022 (4y) | ||
| Kevin Charles Koeller | Registered representative | Jun 2022 (4y) | ||
| Kelly Knight | Registered representative | Jun 2022 (4y) | ||
| Robert Daniel Bishop | Registered representative | Jun 2022 (4y) | ||
| Chris Yeung | Registered representative | Jun 2022 (4y) | ||
| David Glad | Registered representative | Jun 2022 (4y) | ||
| Heather Roark | Registered representative | Jun 2022 (4y) | ||
| Manuel Alejandro Gonzalez | Registered representative | Jun 2022 (4y) | ||
| Rayan Sawh | Registered representative | Jun 2022 (4y) | ||
| Charles Russell Catalanotto | Registered representative | Jun 2022 (4y) | ||
| Theodoro M Guzman | Registered representative | Jun 2022 (4y) | ||
| Bryan Thomas Jost | Registered representative | Jun 2022 (4y) | ||
| Edward Schneider | Registered representative | Jun 2022 (4y) | ||
| Bernardo Carabelli | Registered representative | Jun 2022 (4y) | ||
| Roger Joel Forman | Registered representative | Jun 2022 (4y) | ||
| Hakeem J Fox | Registered representative | Jun 2022 (4y) | ||
| Moises Rafael Saladin | Registered representative | Jun 2022 (4y) | ||
| Yunyan Zhou | Registered representative | Jun 2022 (4y) | ||
| Lashawn Johnson | Registered representative | Jun 2022 (4y) | ||
| Mersadi Britton Davis | Registered representative | Jun 2022 (4y) | ||
| Nino J Colletti | Registered representative | Jun 2022 (4y) | ||
| Ryan Soule | Registered representative | Jun 2022 (4y) | ||
| Wanqiu Wu | Registered representative | Jun 2022 (4y) | ||
| Kevin Hurd | Registered representative | Jul 2022 (4y) | ||
| Tracy Lynn Chan | Registered representative | Jul 2022 (4y) | ||
| Minh T. Phan | Registered representative | CFP | Jul 2022 (4y) | |
| Norka A De Lima Mendez Blaire | Registered representative | Jul 2022 (4y) | ||
| Dustin Smith | Registered representative | Jul 2022 (4y) | ||
| Norbert Lieblang | Registered representative | CFP | Jul 2022 (4y) | |
| Nicole Carbone | Registered representative | Jul 2022 (4y) | ||
| Sarah Penelope Grant | Registered representative | Jul 2022 (4y) | ||
| Ulander Allison Ramesar | Registered representative | Jul 2022 (4y) | ||
| Monica Amador Potts | Registered representative | Jul 2022 (4y) | ||
| Christopher Haley | Registered representative | Jul 2022 (4y) | ||
| Julia De Padua Geraldeli | Registered representative | Jul 2022 (4y) | ||
| Ashana Patrice Harp | Registered representative | Jul 2022 (4y) | ||
| Eric Ramon Garzon | Registered representative | Jul 2022 (4y) | ||
| Katherine T Calvo Espinoza | Registered representative | Jul 2022 (4y) | ||
| Esther Ebo | Registered representative | Jul 2022 (4y) | ||
| Jason Martin Silberman | Registered representative | CFP | Jul 2022 (4y) | |
| Randolph Kendall Feliz | Registered representative | Jul 2022 (4y) | ||
| Cullen Norris Brock | Registered representative | Jul 2022 (4y) | ||
| Jose Perez | Registered representative | Jul 2022 (4y) | ||
| Matthew Dylan Crandall | Registered representative | Jul 2022 (4y) | ||
| Eric Karl Schuller | Registered representative | Jul 2022 (4y) | ||
| Jake Alexis | Registered representative | Jul 2022 (4y) | ||
| Alex Edward Canzano | Registered representative | Jul 2022 (4y) | ||
| Amir Farzin | Registered representative | Jul 2022 (4y) | ||
| Sofia Benitez | Registered representative | Jul 2022 (4y) | ||
| Caroline B Armstrong | Registered representative | Jul 2022 (4y) | ||
| Edmund Unneland | Registered representative | Jul 2022 (4y) | ||
| Alyssa Nicole Neblett | Registered representative | Jul 2022 (4y) | ||
| Eliana Pereira | Registered representative | Jul 2022 (4y) | ||
| Rocio Aguinaga | Registered representative | CFP | Jul 2022 (4y) | |
| Angel David Lopez | Registered representative | Jul 2022 (4y) | ||
| Lenin Sanchez | Registered representative | Jul 2022 (4y) | ||
| Martha Ivette Rodriguez | Registered representative | Jul 2022 (4y) | ||
| Stephen Matthew Bennett | Registered representative | Jul 2022 (4y) | ||
| Ariola Turdiu | Registered representative | Jul 2022 (4y) | ||
| Cayman B Wills | Registered representative | CFA | Jul 2022 (4y) | |
| Eliseo Serdan Perez Arce | Registered representative | Jul 2022 (4y) | ||
| Michael Giorgetti | Registered representative | CFP | Jul 2022 (4y) | |
| Michael Scott Chalmers | Registered representative | Jul 2022 (4y) | ||
| Yuxuan Zhang | Registered representative | Jul 2022 (4y) | ||
| Louis J Kim | Registered representative | Aug 2022 (4y) | ||
| Manuel Gomez | Registered representative | Aug 2022 (4y) | ||
| Andrew Martin | Registered representative | CFP | Aug 2022 (4y) | |
| Anthony Michael Schaustal | Registered representative | Aug 2022 (4y) | ||
| Beatriz Fraga | Registered representative | Aug 2022 (4y) | ||
| Jervand Asatrjan | Registered representative | Aug 2022 (4y) | ||
| Shahedul Alam | Registered representative | Aug 2022 (4y) | ||
| Michael Saccardo | Registered representative | Aug 2022 (4y) | ||
| Steffen Watkins | Registered representative | Aug 2022 (4y) | ||
| Usha Lettman | Registered representative | Aug 2022 (4y) | ||
| Shanti Ramsahai | Registered representative | Aug 2022 (4y) | ||
| Baodong Hu | Registered representative | Aug 2022 (4y) | ||
| Maria L. Blessing | Registered representative | Aug 2022 (4y) | ||
| Andrew Ngoc Nguyen | Registered representative | Aug 2022 (4y) | ||
| Yarden Vilcom | Registered representative | Aug 2022 (4y) | ||
| Bo Daniel Jenkins | Registered representative | Aug 2022 (4y) | ||
| Charles Patrick Moody | Registered representative | Aug 2022 (4y) | ||
| Guozhen Zhao | Registered representative | Aug 2022 (4y) | ||
| Priscilla Audrey Soetanto | Registered representative | Aug 2022 (4y) | ||
| Stephanie Yang | Registered representative | CFA | Aug 2022 (4y) | |
| Brian Armando Ararat | Registered representative | Aug 2022 (4y) | ||
| Calvin Wu | Registered representative | Aug 2022 (4y) | ||
| Carmen Elena Herrera Coria | Registered representative | Aug 2022 (4y) | ||
| Charles I Ojeh | Registered representative | Aug 2022 (4y) | ||
| Marisol Sanchez Taboada | Registered representative | Aug 2022 (4y) | ||
| Edison Domingo Aracena Lorenzo | Registered representative | Aug 2022 (4y) | ||
| Marlon Josue Martinez | Registered representative | Aug 2022 (4y) | ||
| Ruirui Zhu | Registered representative | Aug 2022 (4y) | ||
| Victor L. Delgado | Registered representative | Aug 2022 (4y) | ||
| Joi Aiesha Thompson | Registered representative | Aug 2022 (4y) | ||
| Michael Moreno | Registered representative | Aug 2022 (4y) | ||
| Sergio Andres Fitzgerald Baez | Registered representative | Aug 2022 (4y) | ||
| Jacob James Pusateri | Registered representative | Aug 2022 (4y) | ||
| Kara C Bailys | Registered representative | Aug 2022 (4y) | ||
| Marc Vincent Lopez | Registered representative | Aug 2022 (4y) | ||
| John Tijerino | Registered representative | Aug 2022 (4y) | ||
| Michael Difalco | Registered representative | Aug 2022 (4y) | ||
| Yanhua Xu | Registered representative | Aug 2022 (4y) | ||
| Marcel Diaz | Registered representative | Aug 2022 (4y) | ||
| Edien Hincapie | Registered representative | Aug 2022 (4y) | ||
| Marcela Acevedo Kozupytsya | Registered representative | Aug 2022 (4y) | ||
| Michael Warren Conrad | Registered representative | Aug 2022 (4y) | ||
| Christopher Muthuveren | Registered representative | Sep 2022 (4y) | ||
| Connor Cademartori | Registered representative | Sep 2022 (4y) | ||
| Mini V Jewahar | Registered representative | Chartered Financial Consultant | Sep 2022 (4y) | |
| Nicolas N Talent | Registered representative | Sep 2022 (4y) | ||
| Mickey Tung Ming Li | Registered representative | Sep 2022 (4y) | ||
| Rose Janice Marini | Registered representative | Sep 2022 (4y) | ||
| Harry Joseph Sullivan | Registered representative | Sep 2022 (4y) | ||
| Alvaro Fernandez Jimenez | Registered representative | CFA | Sep 2022 (4y) | |
| Cazimar E. Nieves | Registered representative | Sep 2022 (4y) | ||
| James Giordano | Registered representative | Sep 2022 (4y) | ||
| Mario Moreno | Registered representative | Sep 2022 (4y) | ||
| Nicholas Joseph Filla | Registered representative | Sep 2022 (4y) | ||
| Adam Edward Kennerdell | Registered representative | Sep 2022 (4y) | ||
| Christina Ann Rodriguez | Registered representative | Sep 2022 (4y) | ||
| Edgardo Luis Ortiz Flores | Registered representative | CFP | Sep 2022 (4y) | |
| Elisa Margarita Carranza Salazar | Registered representative | Sep 2022 (4y) | ||
| Kyuwon Kyung | Registered representative | Sep 2022 (4y) | ||
| Miles Eberhard | Registered representative | Sep 2022 (4y) | ||
| Amelia Mei Levitt | Registered representative | Sep 2022 (4y) | ||
| Alec Cummings | Registered representative | Sep 2022 (4y) | ||
| Blal Said | Registered representative | Sep 2022 (4y) | ||
| Fernando Antonio Rendon | Registered representative | Sep 2022 (4y) | ||
| Grant Jones | Registered representative | Sep 2022 (4y) | ||
| Jennifer Faith Anderson | Registered representative | Sep 2022 (4y) | ||
| Yousef El Emary | Registered representative | Sep 2022 (4y) | ||
| Alberto Segura | Registered representative | Sep 2022 (4y) | ||
| Joshua M Ellison | Registered representative | Sep 2022 (4y) | ||
| Yenvy Hoang | Registered representative | Sep 2022 (4y) | ||
| Noah Spitz | Registered representative | Sep 2022 (4y) | ||
| Samuel Peter Descovich | Registered representative | Sep 2022 (4y) | ||
| Carla Renfield Miller | Registered representative | Sep 2022 (4y) | ||
| Simon Edward Mogg | Registered representative | Sep 2022 (4y) | ||
| Thomas Brown | Registered representative | Sep 2022 (4y) | ||
| Jimmy Brey | Registered representative | Sep 2022 (4y) | ||
| Liam King | Registered representative | Sep 2022 (4y) | ||
| Alberto Camilo Nasr | Registered representative | Sep 2022 (4y) | ||
| Maher Tayara | Registered representative | Sep 2022 (4y) | ||
| Lev Aviv Shuber | Registered representative | Sep 2022 (4y) | ||
| Matthew Hamati | Registered representative | Sep 2022 (4y) | ||
| Sandeep Singh | Registered representative | Sep 2022 (4y) | ||
| Camryn Demko | Registered representative | Sep 2022 (4y) | ||
| David Lee | Registered representative | Sep 2022 (4y) | ||
| Tyler Bird | Registered representative | Sep 2022 (4y) | ||
| Dante V. Dagdagan | Registered representative | Sep 2022 (4y) | ||
| Cara Ann Witt Landefeld | Registered representative | Sep 2022 (4y) | ||
| Utkur Zubaydullaev | Registered representative | CFA | Sep 2022 (4y) | |
| Douglas Gonzalez | Registered representative | Sep 2022 (4y) | ||
| Elyanur Jalilova | Registered representative | Sep 2022 (4y) | ||
| Jackson Robert Svete | Registered representative | Oct 2022 (4y) | ||
| Karina Scalzo | Registered representative | Oct 2022 (4y) | ||
| Na Li | Registered representative | Oct 2022 (4y) | ||
| Oscar F Parra | Registered representative | Oct 2022 (4y) | ||
| Shiji Varughese | Registered representative | Oct 2022 (4y) | ||
| Warren Gerald Johnson | Registered representative | Oct 2022 (4y) | ||
| Larisa Sharockman | Registered representative | Oct 2022 (4y) | ||
| Tomas Daniel De Las Carreras | Registered representative | Oct 2022 (4y) | ||
| Aaron Matthew Walker | Registered representative | Oct 2022 (4y) | ||
| Bruna Paz Roca | Registered representative | Oct 2022 (4y) | ||
| Dora Martinez | Registered representative | Oct 2022 (4y) | ||
| Maynor Alberto Loaisiga Bojorge | Registered representative | Oct 2022 (4y) | ||
| Antonio Mora | Registered representative | Oct 2022 (4y) | ||
| Artin Esmaelian Masihi | Registered representative | Oct 2022 (4y) | ||
| Christopher Lanzilotti | Registered representative | Oct 2022 (4y) | ||
| Desi Gonzalez Posada | Registered representative | Oct 2022 (4y) | ||
| Pietro Luzarreta Leal Mendes | Registered representative | Oct 2022 (4y) | ||
| Deann Faye Trees | Registered representative | Oct 2022 (4y) | ||
| John O Young | Registered representative | Oct 2022 (4y) | ||
| Lizette Rodriguez Hernandez | Registered representative | Oct 2022 (4y) | ||
| Matthew Horne | Registered representative | Oct 2022 (4y) | ||
| Heber Lares | Registered representative | Oct 2022 (4y) | ||
| Ryan Robinson | Registered representative | Oct 2022 (4y) | ||
| Akira Kuwada | Registered representative | Oct 2022 (4y) | ||
| Matthew Arnold King | Registered representative | Oct 2022 (4y) | ||
| Nadieda Dazile | Registered representative | Oct 2022 (4y) | ||
| Deborah V Querub Benarroch | Registered representative | Oct 2022 (4y) | ||
| Anthony Lee Cheng | Registered representative | Oct 2022 (4y) | ||
| Chelsea Anna Shin | Registered representative | Oct 2022 (4y) | ||
| Chelsea Kelly Basler | Registered representative | Oct 2022 (4y) | ||
| Eugene Gershman | Registered representative | CFP | Oct 2022 (4y) | |
| John Eric Warme | Registered representative | Oct 2022 (4y) | ||
| Jason D Rubinstein | Registered representative | Oct 2022 (4y) | ||
| Joel Michael Santucci | Registered representative | Oct 2022 (4y) | ||
| Michael Harripersaud | Registered representative | Oct 2022 (4y) | ||
| Samuel Alton Warren | Registered representative | Oct 2022 (4y) | ||
| Faye H Wang | Registered representative | Oct 2022 (4y) | ||
| Harold Lutz Krause | Registered representative | Oct 2022 (4y) | ||
| Aiyana Camille Baker Shedd | Registered representative | Oct 2022 (4y) | ||
| Madison P Van Erp | Registered representative | Nov 2022 (4y) | ||
| Mariana Soledad Fernandez | Registered representative | Nov 2022 (4y) | ||
| Martin Alberto Mejia | Registered representative | Nov 2022 (4y) | ||
| James Bearden | Registered representative | Nov 2022 (4y) | ||
| Kyle Denis Alexander | Registered representative | Nov 2022 (4y) | ||
| Lucas Toglia | Registered representative | Nov 2022 (4y) | ||
| Laura Marina Dominguez | Registered representative | Nov 2022 (4y) | ||
| Viridiana Salamesainz | Registered representative | Nov 2022 (4y) | ||
| Brian R Mercado | Registered representative | Nov 2022 (4y) | ||
| Devon Yogman | Registered representative | Nov 2022 (4y) | ||
| Maria Isabel Rios | Registered representative | Nov 2022 (4y) | ||
| Stacey James | Registered representative | Nov 2022 (4y) | ||
| Dmitri Victor Efimov | Registered representative | Nov 2022 (4y) | ||
| Charlotte Huang | Registered representative | Nov 2022 (4y) | ||
| Melody Nadine Fuller | Registered representative | Nov 2022 (4y) | ||
| Robyn Gabrielle Bruechert | Registered representative | Nov 2022 (4y) | ||
| Akio Adams | Registered representative | Nov 2022 (4y) | ||
| Alejandro Alberto Pereiro | Registered representative | Nov 2022 (4y) | ||
| Sara Hosseini | Registered representative | Nov 2022 (4y) | ||
| Sebastian Garcia Cornejo | Registered representative | Nov 2022 (4y) | ||
| Sarah H Lee | Registered representative | Nov 2022 (4y) | ||
| Sheri Pak | Registered representative | Nov 2022 (4y) | ||
| Praveen V Sekar | Registered representative | Nov 2022 (4y) | ||
| Andrew Erwin Lutsch | Registered representative | Dec 2022 (4y) | ||
| Khadijah Bey Jenkins | Registered representative | Dec 2022 (4y) | ||
| Mathew Lazzarini | Registered representative | Dec 2022 (4y) | ||
| Julie Xiang | Registered representative | Dec 2022 (4y) | ||
| Kimberly A Breedlove | Registered representative | Dec 2022 (4y) | ||
| Daniel Ifraimov | Registered representative | Dec 2022 (4y) | ||
| Manuel Vizcarra | Registered representative | Dec 2022 (4y) | ||
| Peter Hooker | Registered representative | Dec 2022 (4y) | ||
| Juan Jose Tavares | Registered representative | Dec 2022 (4y) | ||
| Nicholas George Lotrecchiano | Registered representative | Dec 2022 (4y) | ||
| Julio Alejandro Torres Lopez | Registered representative | Dec 2022 (4y) | ||
| Derek Miranda | Registered representative | Dec 2022 (4y) | ||
| Gian Carlos Ng Zheng | Registered representative | Dec 2022 (4y) | ||
| Ines Maria Barrutia | Registered representative | Dec 2022 (4y) | ||
| Jose Márquez Jaramillo | Registered representative | Dec 2022 (4y) | ||
| Michael Steven Perkins | Registered representative | Dec 2022 (4y) | ||
| Pedro De La Fuente Egido | Registered representative | Dec 2022 (4y) | ||
| Jacqueline Flyer | Registered representative | Dec 2022 (4y) | ||
| Lucas David Herkins | Registered representative | Dec 2022 (4y) | ||
| Andres Cardona | Registered representative | Dec 2022 (4y) | ||
| Angela Aguayo | Registered representative | Dec 2022 (4y) | ||
| Monica Lynn Dawson | Registered representative | Dec 2022 (4y) | ||
| Patrick J Warchol | Registered representative | Dec 2022 (4y) | ||
| Jiaxin Cai | Registered representative | Dec 2022 (4y) | ||
| Ricardo A Arteaga Espana | Registered representative | Dec 2022 (4y) | ||
| Christopher Kurimay | Registered representative | Dec 2022 (4y) | ||
| Gregg Marsden | Registered representative | Dec 2022 (4y) | ||
| Alana Bichutsky | Registered representative | Dec 2022 (4y) | ||
| Rebecca Schachtel | Registered representative | Dec 2022 (4y) | ||
| Jeanmarie Lebrini | Registered representative | Jan 2023 (4y) | ||
| Yat Hong Thomas Leung | Registered representative | Jan 2023 (4y) | ||
| Anastasia Lombardi | Registered representative | Jan 2023 (4y) | ||
| Michael Depirri | Registered representative | Jan 2023 (4y) | ||
| Michael Mcgriff | Registered representative | Jan 2023 (4y) | ||
| Nnamaka Victoria Nwanegbo | Registered representative | Jan 2023 (4y) | ||
| Evan Radman | Registered representative | Jan 2023 (4y) | ||
| Gregory Goebel | Registered representative | Jan 2023 (4y) | ||
| Matthew Allen Gould | Registered representative | Jan 2023 (4y) | ||
| Eliran Assaraf | Registered representative | Jan 2023 (4y) | ||
| Subryan Armogan | Registered representative | Jan 2023 (4y) | ||
| Daniel Jared Lysy | Registered representative | Jan 2023 (4y) | ||
| Matthew Christopher Ochoa | Registered representative | Jan 2023 (4y) | ||
| Sneha Jose | Registered representative | Jan 2023 (4y) | ||
| Chi Lam | Registered representative | Jan 2023 (4y) | ||
| Taylor Renee Escher | Registered representative | Jan 2023 (4y) | ||
| Anil Daryani | Registered representative | CFA | Jan 2023 (4y) | |
| Karla Madrid | Registered representative | Jan 2023 (4y) | ||
| Michael Wayne Ducker | Registered representative | Jan 2023 (4y) | ||
| Daniel Camino | Registered representative | Jan 2023 (4y) | ||
| Ginny E Wykoff | Registered representative | Jan 2023 (4y) | ||
| Michael Sweeney | Registered representative | Jan 2023 (4y) | ||
| Tinghei Lee | Registered representative | Jan 2023 (4y) | ||
| Viktoriya Irlinsky | Registered representative | Jan 2023 (4y) | ||
| Mark Morrison | Registered representative | Jan 2023 (4y) | ||
| Brett Mccarty | Registered representative | Jan 2023 (4y) | ||
| Dina Kezadri | Registered representative | Jan 2023 (4y) | ||
| Robert Zimmerman | Registered representative | Jan 2023 (4y) | ||
| Angela Catalina Leal Garcia | Registered representative | Jan 2023 (4y) | ||
| Chun Mo Ng | Registered representative | Jan 2023 (4y) | ||
| Jeffrey Wu | Registered representative | Jan 2023 (4y) | ||
| Salvatore Isola | Registered representative | Jan 2023 (4y) | ||
| Brian Christopher Ericson | Registered representative | Jan 2023 (4y) | ||
| Michael Lauren Weinberg | Registered representative | Jan 2023 (4y) | ||
| Nelson David Castaneda | Registered representative | Jan 2023 (4y) | ||
| Raffaele Cardone | Registered representative | Jan 2023 (4y) | ||
| Sana Joseph Theodory | Registered representative | Jan 2023 (4y) | ||
| Josielle Cristina De Araújo Leite | Registered representative | Feb 2023 (3y) | ||
| Carlos Javier Torres George | Registered representative | Feb 2023 (3y) | ||
| Dustin M Andreas | Registered representative | Feb 2023 (3y) | ||
| Avery Barrientez | Registered representative | Feb 2023 (3y) | ||
| Jessica Canizares | Registered representative | Feb 2023 (3y) | ||
| Shady M Shamaa | Registered representative | Feb 2023 (3y) | ||
| Logan Kostko | Registered representative | Feb 2023 (3y) | ||
| Ryan L Tufts | Registered representative | Feb 2023 (3y) | ||
| Monte Bailey | Registered representative | Feb 2023 (3y) | ||
| Richard Scott Cea | Registered representative | Feb 2023 (3y) | ||
| Risa Gail Millot | Registered representative | Feb 2023 (3y) | ||
| Aracelly Cruz | Registered representative | Feb 2023 (3y) | ||
| Alejandra Hernandez Duque | Registered representative | Feb 2023 (3y) | ||
| Michael Wai Lee | Registered representative | Feb 2023 (3y) | ||
| Charles Elwood Mercer | Registered representative | Feb 2023 (3y) | ||
| Anila Young | Registered representative | Mar 2023 (3y) | ||
| Christopher Matthew Brunner | Registered representative | Mar 2023 (3y) | ||
| Ting Yang | Registered representative | Mar 2023 (3y) | ||
| Lili Huang | Registered representative | Mar 2023 (3y) | ||
| Ryan Bollinger | Registered representative | Mar 2023 (3y) | ||
| Wesley G Skarpness | Registered representative | Mar 2023 (3y) | ||
| Deborah Lee Drummond | Registered representative | Mar 2023 (3y) | ||
| Yossry Ghaly | Registered representative | Mar 2023 (3y) | ||
| Amber Rene Ault | Registered representative | Mar 2023 (3y) | ||
| Scarlett Carolina Leiva | Registered representative | Mar 2023 (3y) | ||
| Manuel Munoz | Registered representative | Mar 2023 (3y) | ||
| Mingzhe Jiang | Registered representative | Mar 2023 (3y) | ||
| Jonathan Gordon | Registered representative | Mar 2023 (3y) | ||
| Elizabeth Olt Emswiler | Registered representative | Apr 2023 (3y) | ||
| Ryan Edward Trainor | Registered representative | Apr 2023 (3y) | ||
| David Avila Angarita | Registered representative | Apr 2023 (3y) | ||
| Joseph Russello | Registered representative | Apr 2023 (3y) | ||
| Gregory S Williams | Registered representative | Apr 2023 (3y) | ||
| Maximo Razetti | Registered representative | Apr 2023 (3y) | ||
| Omnia Farag | Registered representative | Apr 2023 (3y) | ||
| Travis Ryan Short | Registered representative | Apr 2023 (3y) | ||
| Nicole Cordonnier | Registered representative | Apr 2023 (3y) | ||
| Susan Rodriguez | Registered representative | Apr 2023 (3y) | ||
| Long Nguyen | Registered representative | Apr 2023 (3y) | ||
| Benjamin Pin Yo Yeh | Registered representative | Apr 2023 (3y) | ||
| Carlos Mauricio Ocampo | Registered representative | Apr 2023 (3y) | ||
| Danny M Sarfati | Registered representative | Apr 2023 (3y) | ||
| Kristin Meredith Alexander | Registered representative | Apr 2023 (3y) | ||
| Arthur M Shields | Registered representative | May 2023 (3y) | ||
| Giuseppe Zagarella | Registered representative | May 2023 (3y) | ||
| Elisabeth Blount | Registered representative | May 2023 (3y) | ||
| Melita Collvins Rohm | Registered representative | May 2023 (3y) | ||
| Scott Chelist | Registered representative | May 2023 (3y) | ||
| Farheen Ahmed | Registered representative | May 2023 (3y) | ||
| Mercedes Boyd | Registered representative | May 2023 (3y) | ||
| Souman Das | Registered representative | May 2023 (3y) | ||
| Ashutosh Shandilya | Registered representative | May 2023 (3y) | ||
| Enrique Diez | Registered representative | May 2023 (3y) | ||
| Eugene Owusu Awuah | Registered representative | May 2023 (3y) | ||
| Guadalupe Cabrera | Registered representative | May 2023 (3y) | ||
| Katherine Marie Kalish | Registered representative | May 2023 (3y) | ||
| Ross Michael Halpern | Registered representative | May 2023 (3y) | ||
| Ryan Robles | Registered representative | Jun 2023 (3y) | ||
| James Aaron Hargis | Registered representative | Jun 2023 (3y) | ||
| Anita Ravani | Registered representative | Jun 2023 (3y) | ||
| Carly Claire Ackerina | Registered representative | Jun 2023 (3y) | ||
| Christopher John Russo | Registered representative | Jun 2023 (3y) | ||
| Lissette Carolina Dametta | Registered representative | Jun 2023 (3y) | ||
| Jonathan Kinsky | Registered representative | Jun 2023 (3y) | ||
| Xun Hu | Registered representative | Jun 2023 (3y) | ||
| Andreas Deoliveira | Registered representative | Jun 2023 (3y) | ||
| Henry Renwick Minchin | Registered representative | Jun 2023 (3y) | ||
| Jin Mun Low | Registered representative | Jun 2023 (3y) | ||
| Rosa D'ambrosio | Registered representative | Jun 2023 (3y) | ||
| Matthew Edward Balecki | Registered representative | Jun 2023 (3y) | ||
| Adriana Navarro | Registered representative | Jul 2023 (3y) | ||
| Valeria Vallecillo | Registered representative | Jul 2023 (3y) | ||
| Zena A Alany | Registered representative | Jul 2023 (3y) | ||
| Jonathan Ip | Registered representative | Jul 2023 (3y) | ||
| Vicheth Paul Chhay | Registered representative | Jul 2023 (3y) | ||
| Melissa E Abas | Registered representative | Jul 2023 (3y) | ||
| Ander Urkidi Crespo | Registered representative | Jul 2023 (3y) | ||
| Kyle A. Burgoyne | Registered representative | Jul 2023 (3y) | ||
| Christie Mauricio Bergamin | Registered representative | Jul 2023 (3y) | ||
| Diana Alvarez | Registered representative | Jul 2023 (3y) | ||
| Javier Cisneros Merino | Registered representative | Jul 2023 (3y) | ||
| Veronica Maria Alvarez | Registered representative | Jul 2023 (3y) | ||
| Jacqueline Fiata | Registered representative | Jul 2023 (3y) | ||
| Nikolas Naymik | Registered representative | Jul 2023 (3y) | ||
| Cindy Lopez | Registered representative | Jul 2023 (3y) | ||
| Lisa Ellen Prevost | Registered representative | Jul 2023 (3y) | ||
| Michael Savage | Registered representative | CFP | Jul 2023 (3y) | |
| Amir Hassan Saffari | Registered representative | Aug 2023 (3y) | ||
| Andrew Charles Hite | Registered representative | Aug 2023 (3y) | ||
| Linxin Chen | Registered representative | Aug 2023 (3y) | ||
| Frank Becker | Registered representative | Aug 2023 (3y) | ||
| Jason Edward Pilger | Registered representative | Aug 2023 (3y) | ||
| Evan Andrew Sall | Registered representative | Aug 2023 (3y) | ||
| Philip Julian Corrales | Registered representative | Aug 2023 (3y) | ||
| Jeremy C Thompson | Registered representative | Aug 2023 (3y) | ||
| Jay Lynn Moldenhauer | Registered representative | Aug 2023 (3y) | ||
| Michael O'hea | Registered representative | Aug 2023 (3y) | ||
| Andres Martinez | Registered representative | CFA | Aug 2023 (3y) | |
| Denise Biederman Rayve | Registered representative | Aug 2023 (3y) | ||
| John Edwin Davidson | Registered representative | Aug 2023 (3y) | ||
| Miguel Francisco Varela Acosta | Registered representative | Aug 2023 (3y) | ||
| Nathalia Grisales | Registered representative | Aug 2023 (3y) | ||
| Samantha Ann Levin | Registered representative | Aug 2023 (3y) | ||
| Alex Romeo Martinez | Registered representative | Aug 2023 (3y) | ||
| Janice Rosemary Phillips Da Silva | Registered representative | Aug 2023 (3y) | ||
| Laura Ann Mcgowan | Registered representative | Aug 2023 (3y) | ||
| Sebastian Merida | Registered representative | Aug 2023 (3y) | ||
| Serafino Bruno | Registered representative | Aug 2023 (3y) | ||
| Axel Moncada | Registered representative | Sep 2023 (3y) | ||
| Darwin F Cruz | Registered representative | Sep 2023 (3y) | ||
| Elias Gracia Ruiz | Registered representative | Sep 2023 (3y) | ||
| Eric Barrios | Registered representative | Sep 2023 (3y) | ||
| Jake Bernarde | Registered representative | Sep 2023 (3y) | ||
| Jeff Decicco | Registered representative | Sep 2023 (3y) | ||
| John Di Bartolomeo | Registered representative | Sep 2023 (3y) | ||
| Joseph Kaufman | Registered representative | Sep 2023 (3y) | ||
| Julia Peppard | Registered representative | Sep 2023 (3y) | ||
| Jacob Cowen | Registered representative | Sep 2023 (3y) | ||
| Lise Christine Tom Mason | Registered representative | Sep 2023 (3y) | ||
| Nora Giannoni | Registered representative | Sep 2023 (3y) | ||
| Mark Chuirazzi | Registered representative | Sep 2023 (3y) | ||
| Rea Cranwell | Registered representative | Sep 2023 (3y) | ||
| Jared D'entremont | Registered representative | Sep 2023 (3y) | ||
| Shikhar Jhalani | Registered representative | Sep 2023 (3y) | ||
| Luiza Borges Reis | Registered representative | Sep 2023 (3y) | ||
| Oksana Gniza Yurchenko | Registered representative | Sep 2023 (3y) | ||
| Steven Anthony Dodge | Registered representative | Sep 2023 (3y) | ||
| Andrea Perrone | Registered representative | Sep 2023 (3y) | ||
| Ritika Chekuri | Registered representative | Sep 2023 (3y) | ||
| Diego Felipe Higuera Cardenas | Registered representative | Sep 2023 (3y) | ||
| Kellin Mcgowan | Registered representative | Sep 2023 (3y) | ||
| Michael Donato | Registered representative | Sep 2023 (3y) | ||
| Frances Jung | Registered representative | Sep 2023 (3y) | ||
| Liset J Confortti Yanes | Registered representative | Sep 2023 (3y) | ||
| Walter Brown | Registered representative | CFA | Sep 2023 (3y) | |
| Zachary Grant Bishop | Registered representative | Sep 2023 (3y) | ||
| Daniela Gisella Vasquez Izquierdo | Registered representative | Sep 2023 (3y) | ||
| David Yepez | Registered representative | Sep 2023 (3y) | ||
| Ningyun Zhang | Registered representative | Sep 2023 (3y) | ||
| Viviana Mercedes Ramirez | Registered representative | Sep 2023 (3y) | ||
| Barkat Chowdhury | Registered representative | Sep 2023 (3y) | ||
| Daniel Kyuwon Lee | Registered representative | Sep 2023 (3y) | ||
| Jenna Mcquin Harms | Registered representative | Sep 2023 (3y) | ||
| Alia Abushkheidem | Registered representative | Sep 2023 (3y) | ||
| Annabelle Bunn | Registered representative | Sep 2023 (3y) | ||
| Kevin Neu | Registered representative | Sep 2023 (3y) | ||
| Michael Fragapane | Registered representative | Sep 2023 (3y) | ||
| Jessica Gonzalez Crisci | Registered representative | Sep 2023 (3y) | ||
| Ainsley Catherine Stamberger | Registered representative | Sep 2023 (3y) | ||
| Katherine Muller | Registered representative | Sep 2023 (3y) | ||
| Shawn Obrien | Registered representative | Sep 2023 (3y) | ||
| Ayobande T Omomo | Registered representative | CFP | Sep 2023 (3y) | |
| Tyler Resch | Registered representative | Sep 2023 (3y) | ||
| Nolan Davis | Registered representative | Sep 2023 (3y) | ||
| Andreas S Cafatti | Registered representative | Sep 2023 (3y) | ||
| Leslie Alan Niblock | Registered representative | Sep 2023 (3y) | ||
| Matthew Gerald Almanza | Registered representative | Sep 2023 (3y) | ||
| Yitong Liu | Registered representative | Sep 2023 (3y) | ||
| Michael Lawrence Meeks | Registered representative | Oct 2023 (3y) | ||
| Ramona Sherelle Bell | Registered representative | Oct 2023 (3y) | ||
| Brooke Blumberg | Registered representative | Oct 2023 (3y) | ||
| Jeffrey Bunch | Registered representative | Oct 2023 (3y) | ||
| Cedric Caser Camara | Registered representative | Oct 2023 (3y) | ||
| Willie Edwards | Registered representative | Oct 2023 (3y) | ||
| Albert Sedaghatpour | Registered representative | Oct 2023 (3y) | ||
| Mackenzie Duffner | Registered representative | Oct 2023 (3y) | ||
| Cheick Konate | Registered representative | Oct 2023 (3y) | ||
| Joshua Hincapie | Registered representative | Oct 2023 (3y) | ||
| Christina Dodson | Registered representative | Oct 2023 (3y) | ||
| Jeffrey Albano | Registered representative | Oct 2023 (3y) | ||
| Thomas S. Maker | Registered representative | Oct 2023 (3y) | ||
| Ying Lu | Registered representative | Oct 2023 (3y) | ||
| Raymond James | Registered representative | Oct 2023 (3y) | ||
| Brian Francis Hoffman | Registered representative | Oct 2023 (3y) | ||
| Miranda Curto | Registered representative | Oct 2023 (3y) | ||
| Andrew Sieg | Registered representative | Oct 2023 (3y) | ||
| Ehsaon Jon Ezzat | Registered representative | Oct 2023 (3y) | ||
| Jeffrey Halbert | Registered representative | Oct 2023 (3y) | ||
| Michael Mackenzie | Registered representative | Oct 2023 (3y) | ||
| Lucia Artinano | Registered representative | Oct 2023 (3y) | ||
| Juan Antonio Fernandez | Registered representative | Oct 2023 (3y) | ||
| Melissa Alonzo | Registered representative | Nov 2023 (3y) | ||
| Ana Matia | Registered representative | Nov 2023 (3y) | ||
| George Johnson | Registered representative | Nov 2023 (3y) | ||
| Christopher Aliseo | Registered representative | Nov 2023 (3y) | ||
| Guillermo Leon | Registered representative | Nov 2023 (3y) | ||
| Aaron Delano James | Registered representative | Nov 2023 (3y) | ||
| Nelson Hernandez | Registered representative | Nov 2023 (3y) | ||
| Savannah Lynne Schulte | Registered representative | Nov 2023 (3y) | ||
| Jaime Moraiz | Registered representative | Nov 2023 (3y) | ||
| Katherine Hearden | Registered representative | Nov 2023 (3y) | ||
| Victor Hugo Avila | Registered representative | Nov 2023 (3y) | ||
| Adrita Shamsher Prova | Registered representative | Nov 2023 (3y) | ||
| Charles Mccahill | Registered representative | Nov 2023 (3y) | ||
| Fiona Alexandra Jackman Ward | Registered representative | Nov 2023 (3y) | ||
| Kaitlyn Farnan | Registered representative | Nov 2023 (3y) | ||
| Anthony Ripamonti | Registered representative | Nov 2023 (3y) | ||
| Johan Camille Nacitas | Registered representative | Nov 2023 (3y) | ||
| Belki Cowan | Registered representative | Nov 2023 (3y) | ||
| Joseph Anthony Argento | Registered representative | Nov 2023 (3y) | ||
| Renato Pablo Lema | Registered representative | Nov 2023 (3y) | ||
| Ting Cheung | Registered representative | Nov 2023 (3y) | ||
| Donika Ahmetaj | Registered representative | Nov 2023 (3y) | ||
| James Tindall | Registered representative | Nov 2023 (3y) | ||
| David Rivera Rivera | Registered representative | Nov 2023 (3y) | ||
| Kenneth Clough | Registered representative | Nov 2023 (3y) | ||
| Johnathan Ellison | Registered representative | Dec 2023 (3y) | ||
| Alexander Harb | Registered representative | Dec 2023 (3y) | ||
| Christopher Mezzasalma | Registered representative | Dec 2023 (3y) | ||
| Jennifer Irving | Registered representative | Dec 2023 (3y) | ||
| Vivek Sugumaran | Registered representative | Dec 2023 (3y) | ||
| Caterina Fontina Gage | Registered representative | Dec 2023 (3y) | ||
| Ekaterina Brovina | Registered representative | Dec 2023 (3y) | ||
| Jon Pinckney | Registered representative | Dec 2023 (3y) | ||
| Darryl Stuckey | Registered representative | Dec 2023 (3y) | ||
| Josh Wilhelmus Jansen | Registered representative | Dec 2023 (3y) | ||
| Marc A Ferraiola | Registered representative | Dec 2023 (3y) | ||
| Alexander Kian Labibi | Registered representative | Dec 2023 (3y) | ||
| Gillian Elizabeth Parrett | Registered representative | Jan 2024 (3y) | ||
| Ivonne Orozco | Registered representative | Jan 2024 (3y) | ||
| Mike Melek | Registered representative | Jan 2024 (3y) | ||
| Allan Jesus Leyva | Registered representative | Jan 2024 (3y) | ||
| Alicia Lathrop | Registered representative | Jan 2024 (3y) | ||
| Archit Adityavikram Singi | Registered representative | Jan 2024 (3y) | ||
| Lisena Gocaj | Registered representative | Jan 2024 (3y) | ||
| Alexander Harrison Arakelian | Registered representative | Jan 2024 (3y) | ||
| Christopher B Sims | Registered representative | Jan 2024 (3y) | ||
| Hina Jumani | Registered representative | Jan 2024 (3y) | ||
| Tyrone Stephens | Registered representative | Jan 2024 (3y) | ||
| Nathan Afshin | Registered representative | CFP | Jan 2024 (3y) | |
| Christopher Folz | Registered representative | Jan 2024 (3y) | ||
| Daniel Gardner | Registered representative | Jan 2024 (3y) | ||
| Jonathan Van Dijk | Registered representative | Jan 2024 (3y) | ||
| Brian Marshall Giambalvo | Registered representative | Jan 2024 (3y) | ||
| Aaron Loor | Registered representative | Jan 2024 (3y) | ||
| Carolyn Pagan | Registered representative | Jan 2024 (3y) | ||
| Edilawit M Tesfaye | Registered representative | Jan 2024 (3y) | ||
| Muhammad Shahzad | Registered representative | Jan 2024 (3y) | ||
| John L Gillen | Registered representative | Jan 2024 (3y) | ||
| Tung Van Duong | Registered representative | Feb 2024 (2y) | ||
| Aminata Jarboh | Registered representative | Feb 2024 (2y) | ||
| Jose Rico | Registered representative | Feb 2024 (2y) | ||
| Teng Lin | Registered representative | Feb 2024 (2y) | ||
| Wellington Augusto Duque Mazutti | Registered representative | Feb 2024 (2y) | ||
| Andrew Chan | Registered representative | Feb 2024 (2y) | ||
| Anthony Ballato | Registered representative | Feb 2024 (2y) | ||
| Meghan Horan | Registered representative | Feb 2024 (2y) | ||
| Gbolahan Bamgbopa | Registered representative | Feb 2024 (2y) | ||
| Robert Francis De Boyrie | Registered representative | Feb 2024 (2y) | ||
| Anna Callimanopulos | Registered representative | Feb 2024 (2y) | ||
| Alejandro J Gonzalez | Registered representative | Feb 2024 (2y) | ||
| Leodan Rodriguez | Registered representative | Feb 2024 (2y) | ||
| Richard Deverna | Registered representative | Mar 2024 (2y) | ||
| Parag Chaturvedi | Registered representative | Mar 2024 (2y) | ||
| Sinman Poon | Registered representative | Mar 2024 (2y) | ||
| Madeline J Keshinover | Registered representative | Mar 2024 (2y) | ||
| Sofia E Kostopoulos | Registered representative | Mar 2024 (2y) | ||
| Jingyi Ke | Registered representative | Mar 2024 (2y) | ||
| Nicholas Johns Wright | Registered representative | Mar 2024 (2y) | ||
| Mahanoor Hussain | Registered representative | Mar 2024 (2y) | ||
| Keith Fisher | Registered representative | Mar 2024 (2y) | ||
| Donna S Hernandez | Registered representative | Mar 2024 (2y) | ||
| Cristal Chung | Registered representative | Mar 2024 (2y) | ||
| Quinn Allison Boortz | Registered representative | Mar 2024 (2y) | ||
| Sergio Jaramillo | Registered representative | Mar 2024 (2y) | ||
| Joshua Richard Dubberly | Registered representative | Mar 2024 (2y) | ||
| Cecilia Mortimore | Registered representative | Apr 2024 (2y) | ||
| Fernando Fleury | Registered representative | Apr 2024 (2y) | ||
| Dino Tabakovic | Registered representative | Apr 2024 (2y) | ||
| Ozlem Artan | Registered representative | Apr 2024 (2y) | ||
| Quetzal Baum | Registered representative | Apr 2024 (2y) | ||
| Katherine Jimenez | Registered representative | Apr 2024 (2y) | ||
| Stephen Joseph Harper | Registered representative | Apr 2024 (2y) | ||
| Gabriel Estrada Alvarez | Registered representative | Apr 2024 (2y) | ||
| Juan Pablo Quiroz Vergara | Registered representative | Apr 2024 (2y) | ||
| Michael Liverano | Registered representative | Apr 2024 (2y) | ||
| Hector Luis Vargas Rodriguez | Registered representative | Apr 2024 (2y) | ||
| Stacey Schultz | Registered representative | Apr 2024 (2y) | ||
| Dana Pineda | Registered representative | May 2024 (2y) | ||
| James Austin Ketron | Registered representative | May 2024 (2y) | ||
| Luis Perez | Registered representative | May 2024 (2y) | ||
| Renato Araujo Teixeira | Registered representative | May 2024 (2y) | ||
| Guillermo Sauceda | Registered representative | May 2024 (2y) | ||
| Amanda Lipton | Registered representative | May 2024 (2y) | ||
| Juan Sebastian Cediel Cervantes | Registered representative | May 2024 (2y) | ||
| Derek Joseph Beirne | Registered representative | May 2024 (2y) | ||
| Nikoll Tinaj | Registered representative | May 2024 (2y) | ||
| Divya Avasthi | Registered representative | May 2024 (2y) | ||
| Richard Weintraub | Registered representative | May 2024 (2y) | ||
| Cynthia Y Wong | Registered representative | May 2024 (2y) | ||
| William Jay Hornbeck | Registered representative | May 2024 (2y) | ||
| Craig Abraham | Registered representative | May 2024 (2y) | ||
| Filipa E Castelo Branco | Registered representative | May 2024 (2y) | ||
| Kaniz Fatema | Registered representative | Jun 2024 (2y) | ||
| Logan Smith | Registered representative | Jun 2024 (2y) | ||
| Ryan Ramos | Registered representative | CFP | Jun 2024 (2y) | |
| Cindy Nguyen Pheng | Registered representative | Jul 2024 (2y) | ||
| Samuel J Choi | Registered representative | Jul 2024 (2y) | ||
| Jimmy Moreinos Benzaquen | Registered representative | Jul 2024 (2y) | ||
| Cory Reed | Registered representative | Jul 2024 (2y) | ||
| Jackson Good | Registered representative | Jul 2024 (2y) | ||
| Ajit Vincent Lawrence Sequeira | Registered representative | Jul 2024 (2y) | ||
| Timothy Scott Migliaccio | Registered representative | Jul 2024 (2y) | ||
| Lauren Rae Carbonel | Registered representative | Aug 2024 (2y) | ||
| Stephen Schneider | Registered representative | Aug 2024 (2y) | ||
| Gabrielle Lidgard | Registered representative | Aug 2024 (2y) | ||
| Carmen Jia Wen Cheung | Registered representative | Aug 2024 (2y) | ||
| Michael James Barrett | Registered representative | Aug 2024 (2y) | ||
| Darwin Torres | Registered representative | Sep 2024 (2y) | ||
| Alexander Liu | Registered representative | Sep 2024 (2y) | ||
| Benjamin Stuart Zeller | Registered representative | Sep 2024 (2y) | ||
| Claire Hyejin Kim | Registered representative | Sep 2024 (2y) | ||
| Camryn Lillian Foltz | Registered representative | Sep 2024 (2y) | ||
| Connor Lo Cascio | Registered representative | Sep 2024 (2y) | ||
| Emilio Dorador | Registered representative | Sep 2024 (2y) | ||
| Gabriel Couto | Registered representative | Sep 2024 (2y) | ||
| Kristy Rose Feinberg | Registered representative | Sep 2024 (2y) | ||
| Lauren Elson | Registered representative | Sep 2024 (2y) | ||
| Maya Xiao Jing Spaulding | Registered representative | Sep 2024 (2y) | ||
| Catherine Friedel | Registered representative | Sep 2024 (2y) | ||
| Leanne Zmood | Registered representative | Sep 2024 (2y) | ||
| Matthew David Brand | Registered representative | Sep 2024 (2y) | ||
| Gofran Rabbi Chowdhury | Registered representative | Sep 2024 (2y) | ||
| Eric Jesus Ramirez | Registered representative | Sep 2024 (2y) | ||
| Kenneth Han Park | Registered representative | Sep 2024 (2y) | ||
| Koel Johnson | Registered representative | Sep 2024 (2y) | ||
| Syuzanna Kocharyan | Registered representative | Sep 2024 (2y) | ||
| Sterlin Matthew Streeter | Registered representative | Sep 2024 (2y) | ||
| Joseph Richard Keller | Registered representative | CFA | Sep 2024 (2y) | |
| Robert Andrew Haskins | Registered representative | Sep 2024 (2y) | ||
| Jordan Hunter Woolfson | Registered representative | Sep 2024 (2y) | ||
| Pikyu Cheng | Registered representative | Sep 2024 (2y) | ||
| Estefania Perez | Registered representative | Sep 2024 (2y) | ||
| Keith David Glenfield | Registered representative | Sep 2024 (2y) | ||
| Ananya Malhotra | Registered representative | Sep 2024 (2y) | ||
| Francesca Nicole Viejo Jaramillo | Registered representative | Sep 2024 (2y) | ||
| Anjana Peddi | Registered representative | Sep 2024 (2y) | ||
| Kelly Sullivan | Registered representative | Sep 2024 (2y) | ||
| Adolfo Jaime Anzola | Registered representative | Sep 2024 (2y) | ||
| Haley Theresa Morris | Registered representative | Sep 2024 (2y) | ||
| Brian Sullivan | Registered representative | Sep 2024 (2y) | ||
| Claudia Morin Vazquez | Registered representative | Sep 2024 (2y) | ||
| Marc Bean | Registered representative | Sep 2024 (2y) | ||
| Kevin A Johnson | Registered representative | Oct 2024 (2y) | ||
| Derek Sean Ketel | Registered representative | Oct 2024 (2y) | ||
| Eduardo Yepes | Registered representative | Oct 2024 (2y) | ||
| Alexandra Daniela Vivescunningham | Registered representative | Oct 2024 (2y) | ||
| Kathryn I Frevola | Registered representative | Oct 2024 (2y) | ||
| Kevin Acevedo | Registered representative | Oct 2024 (2y) | ||
| Michael C Bencivengo | Registered representative | Oct 2024 (2y) | ||
| Eric Chen | Registered representative | Oct 2024 (2y) | ||
| Genna Belle Grodin | Registered representative | Oct 2024 (2y) | ||
| Peter Dewey Klock | Registered representative | Oct 2024 (2y) | ||
| Kylee Gallagher | Registered representative | Oct 2024 (2y) | ||
| Alexander Daniel Tantleff | Registered representative | Oct 2024 (2y) | ||
| Danny N Gomez | Registered representative | Oct 2024 (2y) | ||
| James Dunphy | Registered representative | Oct 2024 (2y) | ||
| Russ Matthew Krokoff | Registered representative | Oct 2024 (2y) | ||
| Steven Wong | Registered representative | Oct 2024 (2y) | ||
| Wang Kei Kwan | Registered representative | Oct 2024 (2y) | ||
| Wingyee Kong | Registered representative | Oct 2024 (2y) | ||
| Stephanie Rose Lally | Registered representative | Oct 2024 (2y) | ||
| Juan Pablo Wilson | Registered representative | Oct 2024 (2y) | ||
| Kexin Hou | Registered representative | Oct 2024 (2y) | ||
| Jiqian Zhao | Registered representative | Nov 2024 (2y) | ||
| Cristina Garcia | Registered representative | Nov 2024 (2y) | ||
| Anton Gringut | Registered representative | CFA | Nov 2024 (2y) | |
| Samuel Remy | Registered representative | Nov 2024 (2y) | ||
| Lenina Oliveira | Registered representative | Nov 2024 (2y) | ||
| Sarah Gardner | Registered representative | Nov 2024 (2y) | ||
| Sharif Charles | Registered representative | Nov 2024 (2y) | ||
| Craig J Calderone | Registered representative | Nov 2024 (2y) | ||
| Mario Andres Valenzuela | Registered representative | Nov 2024 (2y) | ||
| Bernardo Ruiz | Registered representative | Nov 2024 (2y) | ||
| Catherine Elizabeth Turullols | Registered representative | Nov 2024 (2y) | ||
| Wahaj Aslam | Registered representative | CFA | Nov 2024 (2y) | |
| Antonio Benedicto | Registered representative | Nov 2024 (2y) | ||
| David Mclaughlin | Registered representative | CFA | Nov 2024 (2y) | |
| Peter Manno | Registered representative | Nov 2024 (2y) | ||
| Trent Cohan | Registered representative | Nov 2024 (2y) | ||
| Zhuolin Hu | Registered representative | Nov 2024 (2y) | ||
| Joshua Mideum Jung | Registered representative | Nov 2024 (2y) | ||
| Jormiah Hayes | Registered representative | Nov 2024 (2y) | ||
| Anthony Nathaniel Caines | Registered representative | Nov 2024 (2y) | ||
| Maria Renee Avendano Orozco | Registered representative | Nov 2024 (2y) | ||
| Erica Lauren Repetto | Registered representative | Nov 2024 (2y) | ||
| Guilherme Bianchi | Registered representative | Dec 2024 (2y) | ||
| Joseph Sun | Registered representative | Dec 2024 (2y) | ||
| Zachary Austin Zaia | Registered representative | Dec 2024 (2y) | ||
| Caroline Tierney | Registered representative | Dec 2024 (2y) | ||
| Anthony Brito | Registered representative | Dec 2024 (2y) | ||
| Laura Viviana Viveros | Registered representative | Dec 2024 (2y) | ||
| Richard A Morales | Registered representative | Dec 2024 (2y) | ||
| Inyong Hwang | Registered representative | Dec 2024 (2y) | ||
| Margaret Ann Cox | Registered representative | Dec 2024 (2y) | ||
| Valeria Espinosa | Registered representative | Dec 2024 (2y) | ||
| Karandeep Kainth | Registered representative | Dec 2024 (2y) | ||
| Sothearos Gyallay | Registered representative | Dec 2024 (2y) | ||
| Derrick Chao | Registered representative | Dec 2024 (2y) | ||
| Joshua Grant Aguilar | Registered representative | Dec 2024 (2y) | ||
| Tamonie Brown | Registered representative | Jan 2025 (2y) | ||
| Jehova Enrique Guerrero | Registered representative | Jan 2025 (2y) | ||
| Alexander Patrick Dugan | Registered representative | Jan 2025 (2y) | ||
| Julie Makrigianis | Registered representative | Jan 2025 (2y) | ||
| Tan Doan | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Felix Ortiz | Registered representative | Jan 2025 (2y) | ||
| Reinairene Mejia | Registered representative | Jan 2025 (2y) | ||
| Mark Lohmann | Registered representative | Jan 2025 (2y) | ||
| Michael Drew Leary | Registered representative | Jan 2025 (2y) | ||
| Santiago Agudelo | Registered representative | Jan 2025 (2y) | ||
| Donald Salvatore Lamonaca | Registered representative | Jan 2025 (2y) | ||
| Svitlana Girone | Registered representative | CFP | Jan 2025 (2y) | |
| Camilla Lynch | Registered representative | Jan 2025 (2y) | ||
| Kerry Williams | Registered representative | Jan 2025 (2y) | ||
| Megan Carroll Haran | Registered representative | Jan 2025 (2y) | ||
| Yasir Haq | Registered representative | Jan 2025 (2y) | ||
| Ariel Bustamante Faz | Registered representative | Jan 2025 (2y) | ||
| Eugene K Lam | Registered representative | CFP | Jan 2025 (2y) | |
| Yingyi Situ | Registered representative | Feb 2025 (1y) | ||
| Robert Holt Banks | Registered representative | Feb 2025 (1y) | ||
| Kayleigh Bridget Papa | Registered representative | Feb 2025 (1y) | ||
| Anna Wuzhen | Registered representative | Feb 2025 (1y) | ||
| Eric Lordi | Registered representative | Feb 2025 (1y) | ||
| Evan J Steinlauf | Registered representative | Feb 2025 (1y) | ||
| Arya Naim | Registered representative | Feb 2025 (1y) | ||
| Eric Stanton Goodbar | Registered representative | CFA | Feb 2025 (1y) | |
| Maxwell J Tuozzolo | Registered representative | Feb 2025 (1y) | ||
| Jason M Lilly | Registered representative | Feb 2025 (1y) | ||
| Harrison Wall | Registered representative | Mar 2025 (1y) | ||
| Rodrigo Muro | Registered representative | Mar 2025 (1y) | ||
| Christopher Rose | Registered representative | Mar 2025 (1y) | ||
| Douglas Carson Grisbaum | Registered representative | Mar 2025 (1y) | ||
| Harvey Puerta | Registered representative | Mar 2025 (1y) | ||
| David Aodu | Registered representative | Mar 2025 (1y) | ||
| Jessica Wasserman | Registered representative | Apr 2025 (1y) | ||
| Johnathan Luke Peterson | Registered representative | Apr 2025 (1y) | ||
| Meiyue Jin | Registered representative | Apr 2025 (1y) | ||
| Peter Ho | Registered representative | Apr 2025 (1y) | ||
| Jimmy Lazos | Registered representative | Apr 2025 (1y) | ||
| Alexander Cepero | Registered representative | Apr 2025 (1y) | ||
| Amir Kryner | Registered representative | CFP | Apr 2025 (1y) | |
| Justin Roland | Registered representative | Apr 2025 (1y) | ||
| Mike Larrea | Registered representative | Apr 2025 (1y) | ||
| Gustavo Cortes | Registered representative | Apr 2025 (1y) | ||
| Jonathon Jarrod De Vase | Registered representative | Apr 2025 (1y) | ||
| Mekhroj Toshpulatov | Registered representative | Apr 2025 (1y) | ||
| William A Ruland | Registered representative | Apr 2025 (1y) | ||
| William Edward Greenlay | Registered representative | Apr 2025 (1y) | ||
| Jack Henry Privateer | Registered representative | Apr 2025 (1y) | ||
| Bruce Howard Scharf | Registered representative | Apr 2025 (1y) | ||
| Gregory Michael Schmidt | Registered representative | Apr 2025 (1y) | ||
| Thomas Kim | Registered representative | Apr 2025 (1y) | ||
| Taylor Shapiro | Registered representative | Apr 2025 (1y) | ||
| Maggie De Francesco | Registered representative | Apr 2025 (1y) | ||
| Guillermo Said Sotelo Baizan | Registered representative | Apr 2025 (1y) | ||
| Kevin Neacy | Registered representative | Apr 2025 (1y) | ||
| Yulyus Medina | Registered representative | Apr 2025 (1y) | ||
| Ryan Jeffries | Registered representative | Apr 2025 (1y) | ||
| Yanique Keisha Paula Anderson | Registered representative | May 2025 (1y) | ||
| Juan C Martin | Registered representative | May 2025 (1y) | ||
| Kevin W Diamond | Registered representative | May 2025 (1y) | ||
| Solmaz Azar | Registered representative | May 2025 (1y) | ||
| Yichuan Li | Registered representative | May 2025 (1y) | ||
| Furui Guo | Registered representative | May 2025 (1y) | ||
| Heather Vanessa Serna | Registered representative | CFP | May 2025 (1y) | |
| Cassandra Waldron | Registered representative | May 2025 (1y) | ||
| Evan Del Pero | Registered representative | May 2025 (1y) | ||
| Jeffrey Keating | Registered representative | May 2025 (1y) | ||
| Ryan Douglas Natsch | Registered representative | May 2025 (1y) | ||
| Yan Lan | Registered representative | May 2025 (1y) | ||
| Alexandra Grinaldi | Registered representative | May 2025 (1y) | ||
| Armando Torres | Registered representative | May 2025 (1y) | ||
| Eduardo Mejia | Registered representative | May 2025 (1y) | ||
| Michael Felix | Registered representative | May 2025 (1y) | ||
| Sebastian Jesus Storaci | Registered representative | May 2025 (1y) | ||
| Shihua Chen | Registered representative | May 2025 (1y) | ||
| Robert Cole Mccauley | Registered representative | May 2025 (1y) | ||
| Chris M Iwamasa | Registered representative | May 2025 (1y) | ||
| Cory Weinreb | Registered representative | May 2025 (1y) | ||
| Jorgo Celo | Registered representative | May 2025 (1y) | ||
| Matthew Henry Lum | Registered representative | May 2025 (1y) | ||
| Roger Ventura | Registered representative | May 2025 (1y) | ||
| Chong Lam Kam | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Kevin H Fung | Registered representative | CFP | May 2025 (1y) | |
| Geena Walters | Registered representative | May 2025 (1y) | ||
| Matthew Lawlor | Registered representative | May 2025 (1y) | ||
| Denise Gonzalez Basin | Registered representative | May 2025 (1y) | ||
| Berenice Ann Dupiton | Registered representative | May 2025 (1y) | ||
| Aikaterini Martini | Registered representative | May 2025 (1y) | ||
| Brandon Mangan | Registered representative | May 2025 (1y) | ||
| Erik Donohue | Registered representative | May 2025 (1y) | ||
| Christopher Biotti | Registered representative | May 2025 (1y) | ||
| Jesse Park | Registered representative | May 2025 (1y) | ||
| Lori Mc Namara | Registered representative | May 2025 (1y) | ||
| Alexa Martins Paiva | Registered representative | May 2025 (1y) | ||
| Ying Zhang | Registered representative | May 2025 (1y) | ||
| Daniel John Larson | Registered representative | May 2025 (1y) | ||
| Carlos Rodriguez | Registered representative | Jun 2025 (1y) | ||
| Elizabeth Hernandez | Registered representative | Jun 2025 (1y) | ||
| Manuela Mazorra Gomez | Registered representative | Jun 2025 (1y) | ||
| Thiago G Silveira | Registered representative | Jun 2025 (1y) | ||
| German Amaya | Registered representative | Jun 2025 (1y) | ||
| Jeanne H Sun | Registered representative | Jun 2025 (1y) | ||
| Lina Melek | Registered representative | Jun 2025 (1y) | ||
| Melanie Lithgow | Registered representative | Jun 2025 (1y) | ||
| Mason Turner | Registered representative | Jun 2025 (1y) | ||
| Kyle Minerva | Registered representative | Jun 2025 (1y) | ||
| Jefferson Toffey Puckette | Registered representative | Jun 2025 (1y) | ||
| Neelika Batta | Registered representative | Jun 2025 (1y) | ||
| Jorrell Best | Registered representative | Jun 2025 (1y) | ||
| Bhanmattie D Ramasar | Registered representative | Jun 2025 (1y) | ||
| John Frederick Pegg | Registered representative | Jun 2025 (1y) | ||
| Katherine A Moore | Registered representative | Jun 2025 (1y) | ||
| Mary Cunningham | Registered representative | Jun 2025 (1y) | ||
| Olutayo A Sobamowo | Registered representative | Jun 2025 (1y) | ||
| Amanda Sage Lash | Registered representative | Jun 2025 (1y) | ||
| Jia Xing Wei | Registered representative | Jun 2025 (1y) | ||
| Daniel Zylberberg | Registered representative | Jun 2025 (1y) | ||
| Tomas Facio Pacheco | Registered representative | Jun 2025 (1y) | ||
| John Livingstone | Registered representative | Jun 2025 (1y) | ||
| Yuta Nishide | Registered representative | Jun 2025 (1y) | ||
| Brennan Wayland | Registered representative | Jun 2025 (1y) | ||
| Carlos Abel Bonilla | Registered representative | CFA | Jun 2025 (1y) | |
| Colby Carter | Registered representative | Jun 2025 (1y) | ||
| Jonathan Keith Hoge | Registered representative | Jun 2025 (1y) | ||
| Lin Lin | Registered representative | Jun 2025 (1y) | ||
| Brittany Gayle Cloud | Registered representative | Jun 2025 (1y) | ||
| Mathew Alan Salter | Registered representative | CFA | Jun 2025 (1y) | |
| Glenn A. Georgantas | Registered representative | Jun 2025 (1y) | ||
| Daniel Richard Small | Registered representative | Jul 2025 (1y) | ||
| Kollin Schaudt | Registered representative | Jul 2025 (1y) | ||
| Michael Bibbiano | Registered representative | Jul 2025 (1y) | ||
| Nirotam Mahes | Registered representative | Jul 2025 (1y) | ||
| Jeanna Manana | Registered representative | Jul 2025 (1y) | ||
| Nassif Dow | Registered representative | Jul 2025 (1y) | ||
| Diego Ernesto Almau Gonzalez | Registered representative | Jul 2025 (1y) | ||
| Guilherme Moreira Garcez | Registered representative | Jul 2025 (1y) | ||
| Gustavo Rueda | Registered representative | Jul 2025 (1y) | ||
| Jason Ng | Registered representative | Jul 2025 (1y) | ||
| Ricardo Agustin Pena | Registered representative | Jul 2025 (1y) | ||
| Jon Evan Blum | Registered representative | Jul 2025 (1y) | ||
| Kristian Phillip Malcontento | Registered representative | Jul 2025 (1y) | ||
| Yang Cao | Registered representative | Jul 2025 (1y) | ||
| Ryan Keenan | Registered representative | Jul 2025 (1y) | ||
| Benton Lowerison | Registered representative | CFA | Jul 2025 (1y) | |
| Stanley Chi Kin Fu | Registered representative | Jul 2025 (1y) | ||
| Aleksandra Vargas | Registered representative | Jul 2025 (1y) | ||
| Geri Cuicci | Registered representative | Jul 2025 (1y) | ||
| Stephanie Garcia | Registered representative | Jul 2025 (1y) | ||
| Paul Perez | Registered representative | Jul 2025 (1y) | ||
| Bernardo Leiferman Dayan | Registered representative | Jul 2025 (1y) | ||
| Shivani Pandya | Registered representative | Jul 2025 (1y) | ||
| Nicholas Ryan Foci | Registered representative | Jul 2025 (1y) | ||
| Victor Rojas Diaz | Registered representative | Jul 2025 (1y) | ||
| Kevin Rosenthal | Registered representative | Aug 2025 (1y) | ||
| Desiree Bernales Lukian | Registered representative | Aug 2025 (1y) | ||
| Matias Ostrowicz | Registered representative | Aug 2025 (1y) | ||
| Rafael Arturo Suarez Fortes | Registered representative | Aug 2025 (1y) | ||
| Laura Camila Maares | Registered representative | Aug 2025 (1y) | ||
| Stephanie Ann Saccone | Registered representative | Aug 2025 (1y) | ||
| Vance Kottler | Registered representative | Aug 2025 (1y) | ||
| John J. Jutt | Registered representative | Aug 2025 (1y) | ||
| Xuewen Hu | Registered representative | Aug 2025 (1y) | ||
| Duane Hall | Registered representative | Aug 2025 (1y) | ||
| Klever Piedra | Registered representative | Aug 2025 (1y) | ||
| Bill Rizos | Registered representative | Aug 2025 (1y) | ||
| Kathleen Elizabeth Golden | Registered representative | Aug 2025 (1y) | ||
| Paul Sing Shun Sung | Registered representative | Aug 2025 (1y) | ||
| Arvind S. Ramakrishnan | Registered representative | Aug 2025 (1y) | ||
| Issac Gonzalez | Registered representative | Aug 2025 (1y) | ||
| Nicholette La Frenier | Registered representative | Aug 2025 (1y) | ||
| Raul Gonzalez | Registered representative | Aug 2025 (1y) | ||
| Dakotah Hyslop | Registered representative | Aug 2025 (1y) | ||
| Daniel Li | Registered representative | Aug 2025 (1y) | ||
| Eduardo Lantigua | Registered representative | Aug 2025 (1y) | ||
| Mona Arabshahi | Registered representative | Aug 2025 (1y) | ||
| Ahmed Saad | Registered representative | Aug 2025 (1y) | ||
| Guy Ferrera | Registered representative | Aug 2025 (1y) | ||
| Ana Slade | Registered representative | Aug 2025 (1y) | ||
| Christine Fong | Registered representative | Aug 2025 (1y) | ||
| Emma Weinfurt | Registered representative | Aug 2025 (1y) | ||
| Isabella Henriques Sendas | Registered representative | Aug 2025 (1y) | ||
| Parsa Talehakimi | Registered representative | Aug 2025 (1y) | ||
| Sulaiman Khan | Registered representative | Aug 2025 (1y) | ||
| Trisha Arun | Registered representative | Aug 2025 (1y) | ||
| Tsz Kwan Lau | Registered representative | Aug 2025 (1y) | ||
| Abrahamm Rokosz | Registered representative | Aug 2025 (1y) | ||
| Ali Hakimflorian | Registered representative | Aug 2025 (1y) | ||
| Carlotta Claudia Porter | Registered representative | Aug 2025 (1y) | ||
| Cornelia Patricia Carragher | Registered representative | Aug 2025 (1y) | ||
| Delfina Maria Benazzimanoukian | Registered representative | Aug 2025 (1y) | ||
| Gregory Van Nelson | Registered representative | Aug 2025 (1y) | ||
| Harris Morgan Collins | Registered representative | Aug 2025 (1y) | ||
| Kyle Zeitlian | Registered representative | Aug 2025 (1y) | ||
| Matthew Magidson | Registered representative | Aug 2025 (1y) | ||
| Miranda Douglass | Registered representative | Aug 2025 (1y) | ||
| Sara Elizabeth Mccarthy | Registered representative | Aug 2025 (1y) | ||
| Sarjani Shah | Registered representative | Aug 2025 (1y) | ||
| Sebastian Mc Gregor Franks | Registered representative | Aug 2025 (1y) | ||
| Sharon Kim | Registered representative | Aug 2025 (1y) | ||
| Cecilia Torozanetti | Registered representative | Sep 2025 (1y) | ||
| Marissa Sheridan | Registered representative | Sep 2025 (1y) | ||
| Gianmarco Billau | Registered representative | Sep 2025 (1y) | ||
| Santiago Botello | Registered representative | Sep 2025 (1y) | ||
| Villi Isidro Bello | Registered representative | Sep 2025 (1y) | ||
| Blanca Elcia Herreros De Tejada Lobo | Registered representative | Sep 2025 (1y) | ||
| Jamie E O Sullivan | Registered representative | Sep 2025 (1y) | ||
| Krystian Negron | Registered representative | Sep 2025 (1y) | ||
| Nicole Stephanie De Abreu | Registered representative | Sep 2025 (1y) | ||
| Runqi Wang | Registered representative | Sep 2025 (1y) | ||
| Mario Abraham Toledo Martinez | Registered representative | Sep 2025 (1y) | ||
| Ronald James Meraz | Registered representative | Sep 2025 (1y) | ||
| Michael Montes De Oca | Registered representative | Sep 2025 (1y) | ||
| Jennifer Mcmillan | Registered representative | Sep 2025 (1y) | ||
| Ronnie Michael Kirby | Registered representative | Sep 2025 (1y) | ||
| Brian John Ramrup | Registered representative | Sep 2025 (1y) | ||
| Colter David De Coste | Registered representative | Sep 2025 (1y) | ||
| Christian Apolinar Caballero | Registered representative | Sep 2025 (1y) | ||
| Dillon Kepler | Registered representative | Sep 2025 (1y) | ||
| Fabian Sierra | Registered representative | Sep 2025 (1y) | ||
| Christian Young | Registered representative | Sep 2025 (1y) | ||
| Carina Pesantez | Registered representative | Sep 2025 (1y) | ||
| Lorraine Valentone | Registered representative | Sep 2025 (1y) | ||
| Alexander Recalde | Registered representative | Sep 2025 (1y) | ||
| Mason Brown | Registered representative | Sep 2025 (1y) | ||
| Kevylin Cibele Silva Do Vale | Registered representative | Sep 2025 (1y) | ||
| Reese Nichole Macgregor | Registered representative | Sep 2025 (1y) | ||
| Henry Holmes | Registered representative | Sep 2025 (1y) | ||
| Sebastian Ferro Sequedo | Registered representative | Sep 2025 (1y) | ||
| Anthony St Stephen Richardson | Registered representative | CFP | Sep 2025 (1y) | |
| Howard Chase Marsh | Registered representative | Sep 2025 (1y) | ||
| Eugene Nacci | Registered representative | Sep 2025 (1y) | ||
| Sandra Lee Healey | Registered representative | Sep 2025 (1y) | ||
| Basil William Barrett | Registered representative | Sep 2025 (1y) | ||
| Brent Wilton | Registered representative | Sep 2025 (1y) | ||
| Landrit Alibegu | Registered representative | Sep 2025 (1y) | ||
| Nader Maalouf | Registered representative | Sep 2025 (1y) | ||
| Kristen Mcnamara | Registered representative | Sep 2025 (1y) | ||
| Pedro Saro Liano | Registered representative | CFA | Sep 2025 (1y) | |
| Daniel Ellington | Registered representative | Oct 2025 (1y) | ||
| Shaena Mcpadden | Registered representative | Oct 2025 (1y) | ||
| Tze Liang Low | Registered representative | Oct 2025 (1y) | ||
| Felipe Jose Lara | Registered representative | Oct 2025 (1y) | ||
| Giann Piero Cannata | Registered representative | Oct 2025 (1y) | ||
| Jiselle Viera | Registered representative | Oct 2025 (1y) | ||
| Alex Ukpong | Registered representative | Oct 2025 (1y) | ||
| Ramon Jose Pacios | Registered representative | Oct 2025 (1y) | ||
| Henry Middleton | Registered representative | Oct 2025 (1y) | ||
| Elliott Benjamin Waller | Registered representative | Oct 2025 (1y) | ||
| Claire Byers Horner | Registered representative | Oct 2025 (1y) | ||
| Chiara Vilma Maria Zacarias Carpinelli | Registered representative | Oct 2025 (1y) | ||
| Elliana Dividu | Registered representative | Oct 2025 (1y) | ||
| Ronald Rosario | Registered representative | Oct 2025 (1y) | ||
| Kyle Shrader | Registered representative | Oct 2025 (1y) | ||
| Bryton Lam | Registered representative | Oct 2025 (1y) | ||
| David M Minnella | Registered representative | Oct 2025 (1y) | ||
| Eileen Shahnazari | Registered representative | Oct 2025 (1y) | ||
| Kendall Eugene Guyton | Registered representative | Oct 2025 (1y) | ||
| Carlos Chamon | Registered representative | Oct 2025 (1y) | ||
| Valeria Pinzon Trujillo | Registered representative | Oct 2025 (1y) | ||
| Imran Faruqui | Registered representative | CFP | Oct 2025 (1y) | |
| Samantha Miranda | Registered representative | Oct 2025 (1y) | ||
| Pedro Schneider | Registered representative | Oct 2025 (1y) | ||
| Meghan Bergman | Registered representative | CFP | Oct 2025 (1y) | |
| Veronica Chan | Registered representative | Oct 2025 (1y) | ||
| Julyan A. Santos | Registered representative | Oct 2025 (1y) | ||
| Natalya Alexei | Registered representative | Oct 2025 (1y) | ||
| Fei Li | Registered representative | Nov 2025 (1y) | ||
| Albina Catherine Hinrichsen | Registered representative | Nov 2025 (1y) | ||
| Jorge Luis Morasso | Registered representative | Nov 2025 (1y) | ||
| Zion Gabriel Durden | Registered representative | Nov 2025 (1y) | ||
| Christopher Ian Guaman Moreira | Registered representative | Nov 2025 (1y) | ||
| Vishal Wadhwa | Registered representative | Nov 2025 (1y) | ||
| Andre Carter | Registered representative | CFP | Nov 2025 (1y) | |
| Enrique Davila | Registered representative | Nov 2025 (1y) | ||
| Omon Brewton | Registered representative | Nov 2025 (1y) | ||
| Sam Stavros | Registered representative | Nov 2025 (1y) | ||
| Julissa Lopez | Registered representative | Nov 2025 (1y) | ||
| Qiaoling Chen | Registered representative | Nov 2025 (1y) | ||
| Yoraxi Esis | Registered representative | Nov 2025 (1y) | ||
| Elmer Lacaman Sarmiento | Registered representative | Nov 2025 (1y) | ||
| John Christopher Noel | Registered representative | Nov 2025 (1y) | ||
| Nicole Marajh Sinanan | Registered representative | Nov 2025 (1y) | ||
| Cole Charles | Registered representative | Nov 2025 (1y) | ||
| Steven Silber | Registered representative | Nov 2025 (1y) | ||
| Yahaira Evelin Tejeda Garcia | Registered representative | Nov 2025 (1y) | ||
| Christopher William John Mccallum | Registered representative | Nov 2025 (1y) | ||
| Jeffrey B Rait | Registered representative | Nov 2025 (1y) | ||
| Kathryn Lennon | Registered representative | Nov 2025 (1y) | ||
| Craig Marone | Registered representative | Nov 2025 (1y) | ||
| Natalia Vazquez Radoszycki | Registered representative | Nov 2025 (1y) | ||
| Carlos Rodriguez Aspirichaga | Registered representative | Nov 2025 (1y) | ||
| Behzod Roziqov | Registered representative | Nov 2025 (1y) | ||
| Calum Leonard | Registered representative | Nov 2025 (1y) | ||
| Clinton Scott Warren | Registered representative | Nov 2025 (1y) | ||
| Grace Wit | Registered representative | Nov 2025 (1y) | ||
| Mia Sabina Terzic | Registered representative | Nov 2025 (1y) | ||
| Paulo Eduardo Bettega | Registered representative | Nov 2025 (1y) | ||
| Robert Allendorf | Registered representative | Nov 2025 (1y) | ||
| Jacqueline Rivera | Registered representative | Nov 2025 (1y) | ||
| Yasmin Maadi | Registered representative | Nov 2025 (1y) | ||
| Dominick J Aurelio | Registered representative | Nov 2025 (1y) | ||
| Hai Hyun | Registered representative | Nov 2025 (1y) | ||
| John Hobart Kuhn | Registered representative | CFA | Nov 2025 (1y) | |
| Kenny Luis Rodriguez Rodriguez | Registered representative | Nov 2025 (1y) | ||
| Myrdania Cherilus | Registered representative | Nov 2025 (1y) | ||
| Josemary Gutierrez | Registered representative | Nov 2025 (1y) | ||
| Raul Chavez | Registered representative | Nov 2025 (1y) | ||
| Akash Bhanti | Registered representative | Nov 2025 (1y) | ||
| Magaly Cruz | Registered representative | Nov 2025 (1y) | ||
| Ryan Schultz | Registered representative | Nov 2025 (1y) | ||
| Thuc Tri Tran | Registered representative | Nov 2025 (1y) | ||
| Carlton Harris | Registered representative | Nov 2025 (1y) | ||
| Dylan Di Florio | Registered representative | Nov 2025 (1y) | ||
| Jovanny Alvarez | Registered representative | Nov 2025 (1y) | ||
| Ayten Banu Asik Elizondo | Registered representative | Dec 2025 (1y) | ||
| Fernanda Martins Schneiker Lemos | Registered representative | Dec 2025 (1y) | ||
| Guillermo Alessandro Viladot | Registered representative | Dec 2025 (1y) | ||
| John Patrick Coviello | Registered representative | Dec 2025 (1y) | ||
| Christian J Sotomayor | Registered representative | Dec 2025 (1y) | ||
| Joseph Pisano | Registered representative | Dec 2025 (1y) | ||
| Linda E Ting Wang | Registered representative | Dec 2025 (1y) | ||
| Ahmed Mamdooh Ebrahim Elgohary | Registered representative | Dec 2025 (1y) | ||
| Andrew Phillips | Registered representative | Dec 2025 (1y) | ||
| Bettina Marie Andres Banzon | Registered representative | Dec 2025 (1y) | ||
| Jeffrey Tyler Schwedhelm | Registered representative | Dec 2025 (1y) | ||
| Susan Delmer Smith | Registered representative | Dec 2025 (1y) | ||
| Stephen Michael Chanez | Registered representative | CFP | Dec 2025 (1y) | |
| Eduardo Jesus Fernandez | Registered representative | Dec 2025 (1y) | ||
| Igor Lacerda De Almeida Bueno | Registered representative | Dec 2025 (1y) | ||
| Maximus M Calovi | Registered representative | Dec 2025 (1y) | ||
| Pamela S Joo | Registered representative | Dec 2025 (1y) | ||
| Stepan Ghukasyan | Registered representative | CFP | Dec 2025 (1y) | |
| Alexis Irene Switzer | Registered representative | Dec 2025 (1y) | ||
| Helena Macke | Registered representative | Dec 2025 (1y) | ||
| Aidan Francis Mcgaugh | Registered representative | Dec 2025 (1y) | ||
| Jordan C Hall | Registered representative | Dec 2025 (1y) | ||
| Yuming Su | Registered representative | Dec 2025 (1y) | ||
| Eda Seogin Hong | Registered representative | Dec 2025 (1y) | ||
| Eduardo Miguel Gutierrez | Registered representative | Dec 2025 (1y) | ||
| Lilia Hernandez | Registered representative | Dec 2025 (1y) | ||
| Nicholas Alexander Hart | Registered representative | Dec 2025 (1y) | ||
| Brynne Bellemaire | Registered representative | Dec 2025 (1y) | ||
| Delano Macordova Jarrett | Registered representative | Dec 2025 (1y) | ||
| Reed Lipsey | Registered representative | Dec 2025 (1y) | ||
| Javier Vicente Gutierrez | Registered representative | Dec 2025 (1y) | ||
| Katherine Von Seekamm Boucher | Registered representative | Dec 2025 (1y) | ||
| Peter Michael Cavazos | Registered representative | Dec 2025 (1y) | ||
| George Kurosawa | Registered representative | Jan 2026 (1y) | ||
| Juan Camilo Jimenez Hernandez | Registered representative | Jan 2026 (1y) | ||
| Ken Tsang | Registered representative | Jan 2026 (1y) | ||
| Michael Collins | Registered representative | Jan 2026 (1y) | ||
| Asihel Pena | Registered representative | Jan 2026 (1y) | ||
| Anh Hong Nguyen | Registered representative | CFP | Jan 2026 (1y) | |
| Charlotte Philips | Registered representative | Jan 2026 (1y) | ||
| Giovanni Maglione | Registered representative | Jan 2026 (1y) | ||
| Joshua Michael Brown | Registered representative | Jan 2026 (1y) | ||
| Reynaldo Antonio Polanco | Registered representative | Jan 2026 (1y) | ||
| Adolfo Molina | Registered representative | Jan 2026 (1y) | ||
| Rita Magic | Registered representative | Jan 2026 (1y) | ||
| Jonathan Lemos | Registered representative | Jan 2026 (1y) | ||
| Loraine Deininger Urt | Registered representative | Jan 2026 (1y) | ||
| Karina Kanakina | Registered representative | Jan 2026 (1y) | ||
| Dana Helen Matuozzi | Registered representative | CFA | Jan 2026 (1y) | |
| Jacob Benjamin Block | Registered representative | Jan 2026 (1y) | ||
| Jordan Greene | Registered representative | Jan 2026 (1y) | ||
| Penelope Villalona Brito | Registered representative | Jan 2026 (1y) | ||
| Dylan Bowsky | Registered representative | Jan 2026 (1y) | ||
| Anna Arribas | Registered representative | Jan 2026 (1y) | ||
| Kyle Wright | Registered representative | Jan 2026 (1y) | ||
| Soulemane Bagayoko | Registered representative | Jan 2026 (1y) | ||
| Asmir Redzematovic | Registered representative | Jan 2026 (1y) | ||
| Xiao Qin Komischke | Registered representative | Jan 2026 (1y) | ||
| Jaime Moreno | Registered representative | Jan 2026 (1y) | ||
| Frohman Chen | Registered representative | Jan 2026 (1y) | ||
| Henry Van Kirk Mc Kain | Registered representative | Jan 2026 (1y) | ||
| Gege Fan | Registered representative | Jan 2026 (1y) | ||
| Joseph Louis Battaglia | Registered representative | Jan 2026 (1y) | ||
| Qiao Li | Registered representative | Jan 2026 (1y) | ||
| Miles Robert Evans | Registered representative | CFP | Feb 2026 (0y) | |
| Thomas Ferraro | Registered representative | Feb 2026 (0y) | ||
| Josephine Maltese | Registered representative | Feb 2026 (0y) | ||
| Conrad Francis Dequadros | Registered representative | Feb 2026 (0y) | ||
| Liang Cheng | Registered representative | Feb 2026 (0y) | ||
| Joseph Gonzalez | Registered representative | Feb 2026 (0y) | ||
| Alvin R Lopez | Registered representative | Feb 2026 (0y) | ||
| Matthew Dyer Hoehn | Registered representative | Feb 2026 (0y) | ||
| Nicholas Benedetto | Registered representative | Feb 2026 (0y) | ||
| Gavin Yu Kim | Registered representative | Feb 2026 (0y) | ||
| Sophie G De Seynes | Registered representative | Feb 2026 (0y) | ||
| Geovanny Galindez Otero | Registered representative | Feb 2026 (0y) | ||
| Michelle Jeaneth Santamaria Palacios | Registered representative | Feb 2026 (0y) | ||
| Ricky Huang | Registered representative | Feb 2026 (0y) | ||
| Christian Moises Espinal | Registered representative | Feb 2026 (0y) | ||
| Laura Hernandez | Registered representative | Feb 2026 (0y) | ||
| Brian Thomas Respeliers | Registered representative | CFA | Feb 2026 (0y) | |
| Frederick Joseph Johnston | Registered representative | Feb 2026 (0y) | ||
| Magdy Anise | Registered representative | Feb 2026 (0y) | ||
| Melisa Exposito Gonzalez | Registered representative | Feb 2026 (0y) | ||
| Westin Richmond | Registered representative | Feb 2026 (0y) | ||
| Eduardo Henrique Costa Braga De Oliveira | Registered representative | CFA | Feb 2026 (0y) | |
| Emerson Gomez | Registered representative | Feb 2026 (0y) | ||
| Alex Brendan Raginsky | Registered representative | Feb 2026 (0y) | ||
| Kevin Liu | Registered representative | Feb 2026 (0y) | ||
| Sean Michael Klag | Registered representative | Feb 2026 (0y) | ||
| Victoria L Franco | Registered representative | Feb 2026 (0y) | ||
| Katherine Taylor Lounsbury | Registered representative | Feb 2026 (0y) | ||
| Christine Mary Curtiss | Registered representative | Mar 2026 (0y) | ||
| Michael House | Registered representative | Mar 2026 (0y) | ||
| Emanuel Cabrera | Registered representative | Mar 2026 (0y) | ||
| Jarad Tong | Registered representative | Mar 2026 (0y) | ||
| Sophie Wilder | Registered representative | Mar 2026 (0y) | ||
| Juan Andres Althabe | Registered representative | Mar 2026 (0y) | ||
| Olaolu Olayinka Aganga | Registered representative | Mar 2026 (0y) | ||
| Luiz Felipe Dardis | Registered representative | Mar 2026 (0y) | ||
| Seifeldin Abdellateef Moussa | Registered representative | Mar 2026 (0y) | ||
| Bruce Kirkwood Harris | Registered representative | Mar 2026 (0y) | ||
| Luis Fernando Rodriguez | Registered representative | Mar 2026 (0y) | ||
| Nicola Tang | Registered representative | Mar 2026 (0y) | ||
| Christopher Michael Barfoot | Registered representative | Mar 2026 (0y) | ||
| Matthew Sullivan | Registered representative | CFA | Mar 2026 (0y) | |
| Michael Becker | Registered representative | Mar 2026 (0y) | ||
| Gabriela Diaz | Registered representative | Mar 2026 (0y) | ||
| Stanley Toy | Registered representative | Mar 2026 (0y) | ||
| Adriana Goncharov | Registered representative | Mar 2026 (0y) | ||
| Sean Kerry Bevan | Registered representative | Mar 2026 (0y) | ||
| Yisell Oro Vega | Registered representative | Mar 2026 (0y) | ||
| Robert Mourad | Registered representative | CFP | Mar 2026 (0y) | |
| Connor Wood | Registered representative | Apr 2026 (0y) | ||
| Bradley Teasdale | Registered representative | Apr 2026 (0y) | ||
| Asaf Hanan Abramovich | Registered representative | Apr 2026 (0y) | ||
| Yiwei Li | Registered representative | Apr 2026 (0y) | ||
| Felix Kwok Ho Yue | Registered representative | Apr 2026 (0y) | ||
| Ray Anthony Joseph | Registered representative | Apr 2026 (0y) | ||
| Nathanael Mueller | Registered representative | Apr 2026 (0y) | ||
| Santiago Romero | Registered representative | Apr 2026 (0y) | ||
| Kenia Rugama Valle | Registered representative | Apr 2026 (0y) | ||
| Michael Craig Caira | Registered representative | Apr 2026 (0y) | ||
| Shelia N. English | Registered representative | Apr 2026 (0y) | ||
| Jan Hugo Johan Braune | Registered representative | Apr 2026 (0y) | ||
| Adolph Kristunas | Registered representative | Apr 2026 (0y) | ||
| Brian Rosevear | Registered representative | Apr 2026 (0y) | ||
| Hak Jun Kim | Registered representative | Apr 2026 (0y) | ||
| Juan David Rojas Ospina | Registered representative | Apr 2026 (0y) | ||
| Austin Blake Taylor | Registered representative | Apr 2026 (0y) | ||
| Chaitanya Reddy | Registered representative | Apr 2026 (0y) | ||
| Qaysar Khalel Al Aboosi | Registered representative | Apr 2026 (0y) | ||
| Gledia A Nasrah | Registered representative | May 2026 (0y) | ||
| Gordon Townson Williams | Registered representative | May 2026 (0y) | ||
| Juliet Amy Timmins | Registered representative | May 2026 (0y) | ||
| Judith Phu | Registered representative | May 2026 (0y) | ||
| Kayla Conelli | Registered representative | May 2026 (0y) | ||
| Elchin A Bagirov | Registered representative | May 2026 (0y) | ||
| Timothy Robert Conley | Registered representative | May 2026 (0y) | ||
| Kevin Hysenbegasi | Registered representative | May 2026 (0y) | ||
| Gustavo Martinez Cabrera | Registered representative | May 2026 (0y) | ||
| Ran Hu | Registered representative | May 2026 (0y) | ||
| Rachel Gustin | Registered representative | May 2026 (0y) | ||
| Joshua Dov Silber | Registered representative | May 2026 (0y) | ||
| Brittani Boukather Kutschke | Registered representative | May 2026 (0y) | ||
| Sean T Kuchta | Registered representative | May 2026 (0y) | ||
| Vladimir Villa | Registered representative | May 2026 (0y) | ||
| Anthony Lutri | Registered representative | May 2026 (0y) | ||
| Jose Daniel Hernandez | Registered representative | May 2026 (0y) | ||
| Michael Paul Jurado | Registered representative | Jun 2026 (0y) | ||
| Olajide Omoniyi Amoran | Registered representative | Jun 2026 (0y) | ||
| Ryan Santiago | Registered representative | Jun 2026 (0y) | ||
| Sruti Nln | Registered representative | Jun 2026 (0y) | ||
| Jennifer Lewis | Registered representative | Jun 2026 (0y) | ||
| Kristin R Chisam | Registered representative | Jun 2026 (0y) | ||
| Michael Yosef Resler Hammer | Registered representative | Jun 2026 (0y) | ||
| Nathan Israel James | Registered representative | Jun 2026 (0y) | ||
| Thomas P. Scanlon | Registered representative | Jun 2026 (0y) | ||
| Jorge Miguel Campomar | Registered representative | Jun 2026 (0y) | ||
| Leah Shannon Melendez | Registered representative | Jun 2026 (0y) | ||
| Veronika Larot Annal | Registered representative | Jun 2026 (0y) | ||
| Christine Jeanne Delvecchio | Registered representative | Jun 2026 (0y) | ||
| Drew Elmorejr | Registered representative | Jun 2026 (0y) | ||
| Andre Libnic | Registered representative | Jun 2026 (0y) | ||
| Chloe Jennifer Prior | Registered representative | Jun 2026 (0y) | ||
| Romonie Permaul | Registered representative | Jun 2026 (0y) | ||
| Andrew Ayers | Registered representative | Jun 2026 (0y) | ||
| Barrett Cornelius | Registered representative | Jun 2026 (0y) | ||
| Fabienne Sarnecki | Registered representative | CFP | Jun 2026 (0y) | |
| Francis Peter Mulvey | Registered representative | Jun 2026 (0y) | ||
| Geetika Mehrotra | Registered representative | Jun 2026 (0y) | ||
| Lauren Elizabeth Corsello | Registered representative | Jun 2026 (0y) | ||
| Louis P Cafiero | Registered representative | Jun 2026 (0y) | ||
| Rodrigo Noschese | Registered representative | Jun 2026 (0y) | ||
| Mathias Frank Avila Ribeiro | Registered representative | Jul 2026 (0y) | ||
| Vanessa Keller Dias | Registered representative | Jul 2026 (0y) | ||
| Carlos Henriquez | Registered representative | Jul 2026 (0y) | ||
| Kamran Mubashar | Registered representative | Jul 2026 (0y) | ||
| Michael Hallam Gourd | Registered representative | Jul 2026 (0y) | ||
| Mark Ian Shpizner | Registered representative | Jul 2026 (0y) | ||
| Francisco Castellanos | Registered representative | Jul 2026 (0y) | ||
| Priscila Gois Rodrigues Da Silva | Registered representative | Jul 2026 (0y) | ||
| Alejandro Noa | Registered representative | Jul 2026 (0y) | ||
| Mark Strand | Registered representative | CFP | Jul 2026 (0y) | |
| Philip John Pellegrino | Registered representative | Jul 2026 (0y) | ||
| Seungheon Kang | Registered representative | Jul 2026 (0y) | ||
| Jeff Bank | Registered representative | Jul 2026 (0y) | ||
| Vanessa Foltinger Garcia | Registered representative | Jul 2026 (0y) | ||
| Matthew S Aber | Registered representative | Jul 2026 (0y) | ||
| Ana Cristina Viramontes | Registered representative | Jul 2026 (0y) | ||
| Shelly S Wong | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Citigroup Financial Products Inc. | 100% Shareholder | Sep 1998 | A | 75% or more |
| Citigroup Inc. | 100% Shareholder | Nov 1997 | B | 75% or more of Citigroup Global Markets Holdings Inc. (indirect) |
| Citigroup Global Markets Holdings Inc. | 100% Shareholder | Sep 1998 | B | 75% or more of Owns 100% Of Citigroup Financial Products Inc. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Orrick, Herrington & Sutcliffe Llp Defined Benefit Plan | Orrick, Herrington & Sutcliffe Llp | 0 | $0 | 01/01/2024 |
| Baker Distributing Corporation 401(k) Profit Sharing Plan | Baker Distributing Corporation | 168 | $10.4M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/30/2026 | 17.2 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Event Detail: CHARGE OF MAKING AN ARRANGEMENT / ARRIVING AT AN UNDERSTANDING THAT CONTAINED A CARTEL PROVISION UNDER SECTION 44ZZRF(1) OF THE COMPETITION AND CONSUMER ACT 2010 (CTH): 3 COUNTS; FELONY; PLEA NOT YET ENTERED; PRODUCT TYPE: EQUITIES. CHARGE OF GIVING EFFECT TO THE UNDERSTANDING / ARRANGEMENT SET OUT ABOVE UNDER SECTION 44ZZRG(1) OF THE COMPETITION AND CONSUMER ACT 2010 (CTH): 3 COUNTS; FELONY; PLEA NOT ENTERED; PRODUCT TYPE: EQUITIES. Status: Pending
Allegations: THE PLAINTIFF STATES THAT IN 2006 WHILE I WAS HER UBS FINANCIAL ADVISOR, I ADVISED HER TO DEPOSIT FUNDS FROM A METLIFE ANNUITY INTO AN INHERITED IRA ACCOUNT AT UBS. FROM SAID ACTIONS SHE STATES THAT SHE SUSTAINED TAX CONSEQUENCES. Status: Pending Summary: I AM BEING REPRESENTED BY NIKOLAS KOMYATI, ESQ (BRESSLER, AMERY, & ROSS, P.C 973-245-0671) WHO IS ALSO REPRESENTING UBS FINANCIAL SERVICES. MR. KOMYATI IS CURRENTLY MOVING THE CASE FOR A MISTRIAL. AND OR ARBITRATION.
Allegations: CLAIMANT ALLEGES REGISTERED REPRESENTATIVE BREACHED FIDUCIARY DUTIES IN CONNECTION WITH HER ACCOUNTS. ACTIVITY DATES 2004-2010. Status: Pending Summary: REGISTERED REPRESENTATIVE STRENUOUSLY DENIES ALLEGATION.
Allegations: THE CONDUCT OF CGMI, ALONG WITH CERTAIN OF ITS AFFILIATES, (TOGETHER, "CITI") ALLEGED IN THE SEC'S COMPLAINT INVOLVED CITI'S ROLE IN THE STRUCTURING AND MARKETING OF A LARGELY SYNTHETIC COLLATERALIZED DEBT OBLIGATION ("CDO") WHOSE INVESTMENT PORTFOLIO CONSISTED PRIMARILY OF CREDIT DEFAULT SWAPS REFERENCING OTHER CDO SECURITIES WITH COLLATERAL CONSISTING PRIMARILY OF RESIDENTIAL MORTGAGE-BACKED SECURITIES. THE COMPLAINT ALLEGED THAT THE MARKETING MATERIALS FOR THE CDO WERE MATERIALLY MISLEADING BECAUSE THEY SUGGESTED THAT CITI WAS ACTING IN THE TRADITIONAL ROLE OF AN ARRANGING BANK, WHEN IN FACT CITI HAD ALLEGEDLY EXERCISED INFLUENCE OVER THE SELECTION OF THE ASSETS AND HAD RETAINED A PROPRIETARY SHORT POSITION OF THE ASSETS IT HAD HELPED SELECT, WHICH GAVE CITI ALLEGEDLY UNDISCLOSED ECONOMIC INTERESTS ADVERSE TO THOSE OF THE INVESTORS IN THE CDO. Status: Final Summary: CGMI EXECUTED ON OCTOBER 14, 2011, A CONSENT OF DEFENDANT CITIGROUP GLOBAL MARKETS INC., (THE "CONSENT"), IN WHICH CGMI NEITHER ADMITTED NOR DENIED ANY OF THE ALLEGATIONS DESCRIBED IN NUMBER 7 ABOVE (EXCEPT AS TO PERSONAL AND SUBJECT MATTER JURISDICTION) IN A COMPLAINT FILED BY THE SEC, BUT IN WHICH IT CONSENTED TO THE ENTRY OF A FINAL JUDGMENT ("FINAL JUDGMENT") AGAINST IT BY THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ( THE "COURT"). THE SEC APPROVED THE CONSENT, AND ON OCTOBER 19, 2011, THE SEC FILED A COMPLAINT AGAINST CGMI IN THE COURT. THE FINAL JUDGMENT RESTRAINS AND ENJOINS CGMI FROM VIOLATING SECTIONS 17(A)(2) AND (3) OF THE SECURITIES ACT OF 1933 IN THE OFFER OR SALE OF ANY SECURITY OR SECURITY-BASED SWAP AGREEMENT. THE FINAL JUDGMENT ALSO REQUIRES CGMI TO COMPLY WITH CERTAIN UNDERTAKINGS RELATING TO: (I) THE ROLE OF THE RELEVANT CAPITAL MARKETS APPROVAL COMMITTEE OR COMMITMENT COMMITTEE WITH RESPECT TO THE PROCESSES IN PLACE CONCERNING WRITTEN MARKETING MATERIALS FOR RESIDENTIAL MORTGAGE RELATED SECURITIES (OTHER THAN AGENCY RESIDENTIAL MORTGAGE BACKED SECURITIES), INCLUDING COLLATERALIZED DEBT OBLIGATIONS REFERENCING OR INCLUDING SUCH SECURITIES (COLLECTIVELY "MORTGAGE SECURITIES") IN WHICH CGMI IS THE LEAD UNDERWRITER, PLACEMENT AGENT, OR PLAYS A SIMILAR ROLE; (II) THE ROLE OF CGMI'S LEGAL AND COMPLIANCE DEPARTMENT WITH RESPECT TO THE REVIEW OF MARKETING MATERIALS, OFFERING CIRCULARS/PROSPECTUSES, AND WRITTEN SUBMISSIONS TO EITHER CGMI'S CAPITAL MARKETS APPROVAL COMMITTEE OR COMMITMENT COMMITTEE USED IN CONNECTION WITH MORTGAGE SECURITIES OFFERINGS; (III) THE REVIEW OF THE WRITTEN MARKETING MATERIALS AND OFFERING CIRCULARS/PROSPECTUSES USED IN CONNECTION WITH MORTGAGE SECURITIES BY OUTSIDE COUNSEL WHERE CGMI IS THE LEAD UNDERWRITER, PLACEMENT AGENT, OR PLAYS A SIMILAR ROLE OF AN OFFERING OF MORTGAGE SECURITIES AND RETAINS OUTSIDE COUNSEL TO ADVISE ON THE OFFERING; (IV) ANNUAL INTERNAL AUDITS TO DETERMINE THAT ITEMS (I), (II), AND (III) ARE BEING COMPLIED WITH; AND (V) ANNUAL CERTIFICATION THAT CGMI HAS COMPLIED IN ALL MATERIAL RESPECTS WITH THE UNDERTAKINGS. AFTER A LENGTHY SERIES OF COURT PROCEEDINGS, THE DISTRICT COURT ENTERED THE FINAL JUDGMENT ON AUGUST 5, 2014. ADDITIONALLY, PURSUANT TO THE FINAL JUDGMENT, CGMI PAID DISGORGEMENT AND A CIVIL MONETARY PENALTY AS DESCRIBED ABOVE.
Allegations: THE BOURSE DE MONTREAL INC. ("BOURSE") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. SYSTEMATICALLY FAILED TO REPORT THE POSITIONS IN OPTIONS ON FUTURES CONTRACTS THAT EXCEEDED THE PRESCRIBED REPORTING THRESHOLD AND FAILED TO ESTABLISH AND MAINTAIN A SYSTEM TO SUPERVISE THE ACTIVITIES OF EACH EMPLOYEE THAT IS REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE REQUIREMENTS OF ARTICLE 6.500 OF THE BOURSE RULES. Status: Pending
Allegations: ALLEGED VIOLATION OF CBOT RULE 971.A.2.B IN THAT CITIGROUP GLOBAL MARKETS INC.'S SECURED 30.7 REQUIREMENT WAS IMPROPERLY COMPUTED USING THE MARKET VALUE OF CUSTOMER-OWNED SECURITIES LESS SEC HAIRCUTS AND A HOUSE CARRYING-BROKER BALANCE WAS INCLUDED WITHIN SECURED 30.7 FUNDS ON OCTOBER 4, 2013. Status: Final Sanction Detail: FINE IN THE AMOUNT OF $25,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A FINE IN THE AMOUNT OF $25,000
Allegations: ALLEGED VIOLATION OF EXCHANGE RULES 811 AND 561 IN THAT CITIGROUP GLOBAL MARKETS INC. ON TRADE DATE NOVEMBER 15, 2012 REPORTED CERTAIN INSTANCES OF INACCURATE LARGE TRADER POSITIONS FOR CONTRACTS, IN WHICH IT PROVIDED A CORRECTED LARGE TRADER FILE AFTER THE ADJUSTMENT DEADLINE AS WELL AS REPORTED CERTAIN INSTANCES OF INACCURATE OPEN INTEREST POSITION. Status: Final Sanction Detail: FINE IN THE AMOUNT OF $10,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A FINE IN THE AMOUNT OF $10,000.
Allegations: ALLEGED VIOLATION OF EXCHANGE RULES 811 AND 561 IN THAT CITIGROUP GLOBAL MARKETS INC. ON TRADE DATE NOVEMBER 15, 2012 REPORTED CERTAIN INSTANCES OF INACCURATE LARGE TRADER POSITIONS FOR CONTRACTS, IN WHICH IT PROVIDED A CORRECTED LARGE TRADER FILE AFTER THE ADJUSTMENT DEADLINE AS WELL AS REPORTED CERTAIN INSTANCES OF INACCURATE OPEN INTEREST POSITION. Status: Final Sanction Detail: FINE IN THE AMNOUNT OF $4,500 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A FINE IN THE AMOUNT OF $4,500
Allegations: ALLEGED VIOLATION OF EXCHANGE RULE 854.B IN THAT CITIGROUP GLOBAL MARKETS INC. EXECUTED AN EQUAL POSITION ADJUSTMENT OF -1,994 BY -1,994 IN THE SPOT MONTH PERIOD OF A FUTURES CONTRACT AND THAT THIS POSITION ADJUSTMENT ACCOUNTED FOR APPROXIMATELY 14.6% OF THE FINAL OPEN INTEREST FUTURES CONTRACT REPORTED ON FEBRUARY 27, 2012. Status: Final Sanction Detail: FINE IN THE AMOUNT OF $10,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A FINE IN THE AMOUNT OF $10,000
Allegations: ALLEGED VIOLATION OF EXCHANGE RULES 811, 854.B AND 561 IN THAT CITIGROUP GLOBAL MARKETS INC. ON TRADE DATE NOVEMBER 15, 2012 REPORTED CERTAIN INSTANCES OF INACCURATE LARGE TRADER POSITIONS FOR CONTRACTS, IN WHICH IT PROVIDED A CORRECTED LARGE TRADER FILE AFTER THE ADJUSTMENT DEADLINE. IN ADDITION, FOR TRADE DATE NOVEMBER 15, 2012, CITIGROUP GLOBAL MARKETS INC. REPORTED CERTAIN INSTANCES OF OPEN INTEREST POSITION AND OVERSTATED OPEN INTEREST IN A PHYSICALLY SETTLED DECEMBER 2012 FUTURES CONTRACT. Status: Final Sanction Detail: FINE IN THE AMOUNT OF $47,500 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A FINE IN THE AMOUNT OF $47,500
Allegations: ALLEGED VIOLATION OF EXCHANGE RULES 811 AND 561 IN THAT CITIGROUP GLOBAL MARKETS INC. ON TRADE DATE NOVEMBER 15, 2012 REPORTED CERTAIN INSTANCES OF INACCURATE LARGE TRADER POSITIONS FOR CONTRACTS, IN WHICH IT PROVIDED A CORRECTED LARGE TRADER FILE AFTER THE ADJUSTMENT DEADLINE AS WELL AS REPORTED CERTAIN INSTANCES OF INACCURATE OPEN INTEREST POSITION. Status: Final Sanction Detail: FINE IN THE AMOUNT OF $3,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A FINE IN THE AMOUNT OF $3,000
Allegations: ALLEGED VIOLATION OF RULE 576 IN THAT CITIGROUP GLOBAL MARKETS INC. UTILIZED TAG 50 ID'S IN A MANNER INCONSISTENT WITH THE REQUIREMENTS. Status: Final Sanction Detail: SUMMARY FINE IN THE AMOUNT OF $1,500 Summary: THIS MATTER IS PART OF A $7500 SUMMARY FINE IMPOSED BY THE CHICAGO MERCANTILE EXCHANGE AND ALLOCATED AMONG THE CHICAGO MERCANTILE EXCHANGE, THE NEW YORK MERCANTILE EXCHANGE, AND THE CHICAGO BOARD OF TRADE.
Allegations: ALLEGED VIOLATION OF RULE 576 IN THAT CITIGROUP GLOBAL MARKETS INC. UTILIZED TAG 50 ID'S IN A MANNER INCONSISTENT WITH THE REQUIREMENTS. Status: Final Sanction Detail: SUMMARY FINE IN THE AMOUNT OF $3,000 Summary: THIS MATTER IS PART OF A $7500 SUMMARY FINE IMPOSED BY THE CHICAGO MERCANTILE EXCHANGE AND ALLOCATED AMONG THE CHICAGO MERCANTILE EXCHANGE, THE NEW YORK MERCANTILE EXCHANGE, AND THE CHICAGO BOARD OF TRADE.
Allegations: ALLEGED VIOLATION OF RULE 576 IN THAT CITIGROUP GLOBAL MARKETS INC. UTILIZED TAG 50 ID'S IN A MANNER INCONSISTENT WITH THE REQUIREMENTS. Status: Final Sanction Detail: SUMMARY FINE IN THE AMOUNT OF $3,000 Summary: THIS MATTER IS PART OF A $7500 SUMMARY FINE IMPOSED BY THE CHICAGO MERCANTILE EXCHANGE AND ALLOCATED AMONG THE CHICAGO MERCANTILE EXCHANGE, THE NEW YORK MERCANTILE EXCHANGE, AND THE CHICAGO BOARD OF TRADE.
Allegations: ALLEGED VIOLATION OF NASD RULES 2320, 2110, AND 3010 AND FINRA RULE 2010 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET AND FAILED TO BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO ITS CUSTOMER WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS FOR CERTAIN TRANSACTIONS, FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM THAT WAS REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH THE FIRM'S BEST EXECUTION OBLIGATIONS, AND THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WSP'S FOR A BEST EXECUTION REVIEW OF NON-CONVERTIBLE PREFERRED TRANSACTIONS DURING THE PERIOD FROM JANUARY 1, 2008 THROUGH MAY 31, 2011. Status: Final Sanction Detail: CENSURE, FINE OF $1,850,000, UNDERTAKING TO REVISE THE FIRM'S WSP'S, RESTITUTION OF $638,638.34 PLUS INTEREST. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE OF $1,850,000, AN UNDERTAKING TO REVISE THE FIRM'S WSP'S, AND RESTITUTION OF $638,638.34 PLUS INTEREST.
Allegations: ALLEGED VIOLATION OF SEC RULE 203(B)(1) OF REGULATION SHO, FINRA RULES 4560 AND 2010 AND NASD RULE 3010 IN THAT CITIGROUP GLOBAL MARKETS INC., ON CERTAIN OCCASIONS, ACCEPTED A SHORT SALE ORDER IN AN EQUITY SECURITY FROM ANOTHER PERSON, OR EFFECTED A SHORT SALE IN AN EQUITY SECURITIES FOR ITS OWN ACCOUNT WITHOUT BORROWING THE SECURITY, OR ENTERING INTO A BONA-FIDE ARRANGEMENT TO BORROW THE SECURITY; OR HAVING REASONABLE GROUNDS TO BELIEVE THAT THE SECURITY COULD BE BORROWED SO THAT IT COULD BE DELIVERED ON THE DATE DELIVERY IS DUE; AND DOCUMENTING COMPLIANCE FROM SEPTEMBER 27, 2010 THROUGH JUNE 15, 2011; AND PROVIDED A REPORT TO FINRA WHICH REPORTED THE INCORRECT NUMBER OF SHORT INTEREST POSITIONS AND THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE FROM JUNE 15, 2009 THOUGH JUNE 30, 2011. Status: Final Sanction Detail: CENSURE, FINE OF $125,000, AND AN UNDERTAKING TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE OF $125,000, AND AN UNDERTAKING TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES
Allegations: ALLEGED VIOLATION OF NASD MEMBERSHIP AND REGISTRATIONS RULES 1021 AND 1031, NASD CONDUCT RULE 2110 AND FINRA RULE 2010 IN THAT CITIGROUP GLOBAL MARKETS INC. PERMITTED A GROUP OF PORTFOLIO MANAGERS WHO WERE NOT REGISTERED WITH FINRA IN ANY CAPACITY TO DIRECT THE CITIGROUP PRINCIPAL STRATEGIES DESK'S TRADING ACTIVITY AND PERMITTED A MANAGING DIRECTOR WHO WAS NOT REGISTERED WITH FINRA TO SUPERVISE A PORFOLIO MANAGER FROM NOVEMBER 2007 UNTIL JANUARY 2012. Status: Final Sanction Detail: CENSURE AND A FINE IN THE AMOUNT OF $175,000 Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A CENSURE AND A FINE IN THE AMOUNT OF $175,000
Allegations: ALLEGED VIOLATION OF CBOT RULES 526.F AND 536.A IN THAT CITIGROUP GLOBAL MARKETS INC. EXECUTED MULTIPLE BLOCK TRADES IN VARIOUS CBOT INTEREST RATE FUTURES CONTRACTS THAT WERE NOT REPORTED TO THE EXCHANGE WITHIN THE APPLICABLE TIME LIMIT FOLLOWING EXECUTION, REPORTED TO THE EXCHANGE INACCURATE EXECUTION TIMES OF BLOCK TRADES AND FAILED TO MAINTAIN ACCURATE WRITTEN OR ELECTRONIC RECORDS WITH REPECT TO BLOCK TRADE EXECUTION DURING THE TIME PERIOD NOVEMBER 2009 THROUGH AUGUST 2013. Status: Final Sanction Detail: FINE IN THE AMOUNT OF $100,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A FINE IN THE AMOUNT OF $100,000
Allegations: ALLEGED VIOLATION OF CME RULES 526.D, 526.F, AND 536.A IN THAT CITIGROUP GLOBAL MARKETS INC. EXECUTED MULTIPLE BLOCK TRADES IN VARIOUS CME FX FUTURES CONTRACTS THAT WERE NOT REPORTED TO THE EXCHANGE WITHIN THE APPLICABLE TIME LIMIT FOLLOWING EXECUTION, REPORTED TO THE EXCHANGE INACCURATE EXECUTION TIMES OF BLOCK TRADES AND FAILED TO MAINTAIN ACCURATE WRITTEN ELECTRONIC RECORDS WITH RESPECT TO BLOCK TRADE EXECUTIONS DURING THE PERIOD FROM FEBRUARY 2012 THROUGH OCTOBER 2013 AND EXECUTED A MAY/JUNE 2013 BRAZILIAN REAL FUTURES SPREAD BLOCK TRANSACTION WHERE EACH LEG OF THE SPREAD WAS NOT EXECUTED AT A SINGLE PRICE ON ONE OCCASION IN APRIL 2013. Status: Final Sanction Detail: FINE IN THE AMOUNT OF $50,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A FINE IN THE AMOUNT OF $50,000
Allegations: ALLEGED VIOLATION OF EXCHANGE RULE 3.6A IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO TIMELY DESIGNATE CERTAIN ASSOCIATED PERSONS AS PROPRIETARY TRADERS OR PROPRIETARY TRADER PRINCIPALS IN THE EXCHANGE WEBCRD AND ALSO FAILED TO TIMELY DESIGNATE ITS CHIEF COMPLIANCE OFFICER AS A PROPRIETARY TRADER COMPLIANCE OFFICER. Status: Final Sanction Detail: $45,000 FINE AND A CENSURE Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A $45,000 FINE AND A CENSURE
Allegations: ALLEGED VIOLATION OF NASD RULES 3010(A), 3010(B), 2110, 2711(C)(5), AND 2711 (I) AND FINRA RULES 5280 AND 2010 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO ADEQUATELY SUPERVISE COMMUNICATION BETWEEN ITS EQUITY RESEARCH ANALYSTS AND CLIENTS BETWEEN OCTOBER 2010 AND OCTOBER 2013, FAILED TO PREVENT THE DISCLOSURE OF NONPUBLIC RESEARCH INFORMATION ON DECEMBER 13, 2012, FAILED TO ADEQUATELY ENFORCE ITS OWN POLICIES CONCERNING COMMUNICATIONS BY EQUITY RESEARCH ANALYSTS BETWEEN JANUARY 2005 AND FEBRUARY 2014, CGMI'S EQUITY RESEARCH ANALYST PARTICIPATED IN INVESTMENT BANKING ROAD SHOW PRESENTATIONS ON MAY 5, 2011 AND JULY 6, 2011, AND CGMI FAILED TO HAVE WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ENSURE THAT ITS EQUITY RESERACH ANALYSTS DID NOT PARTICIPATE IN INVESTMENT BANKING ROAD SHOW PRESENATIONS DURING THE PERIOD OF 2011 THROUGH 2013. Status: Final Sanction Detail: CENSURE, FINE IN THE AMOUNT OF $15,000,000, AND AN UNDERTAKING TO CONDUCT A COMPREHENSIVE REVIEW OF THE ADEQUACY AND IMPLEMENTATION OF ITS POLICIES AND PROCEDURES AND TRAINING Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE IN THE AMOUNT OF $15,000,000 AND AN UNDERTAKING TO CONDUCT A COMPREHENSIVE REVIEW OF THE ADEQUACY AND IMPLEMENTATION OF ITS POLICIES AND PROCEDURES AND TRAINING
Allegations: ALLEGED VIOLATION OF NASD RULES 3010(A) AND 3012 AND FINRA RULE 2010 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO DELIVER PROPECTUSES IN CONNECTION WITH SALES OF CERTAIN EXCHANGE TRADED FUNDS (ETF)TO CUSTOMERS, FAILED TO DESIGN AND IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM TO ACHIEVE COMPLIANCE WITH THE SECURITIES LAW AND REGULATIONS GOVERNING ETF PROSPECTUS DELIVERY, AND FAILED TO ESTABLISH, MAINTAIN AND ENFORCE SUPERVISORY CONTROL POLICIES AND PROCEDURES THAT TESTED AND VERIFIED THAT ITS ETF PROPECTUS DELIVERY PROCEDURES WERE IN COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND REGULATIONS AND FINRA RULES FROM 2009 THROUGH APRIL 2011. COMPANION AWC TO NYSE AWC CASE# 2011026502902. Status: Final Sanction Detail: CENSURE AND A FINE IN THE TOTAL AMOUNT OF $3,000,000 (PAID JOINTLY TO FINRA AND NYSE) Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A CENSURE AND A FINE IN THE TOTAL AMOUNT OF $3,000,000 (PAID JOINTLY TO FINRA AND NYSE)
Allegations: ALLEGED VIOLATION OF NYSE RULES 1100(B), 476, 2010, 342(A), 342(B), AND 342.23 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO DELIVER PROSPECTUSES IN CONNECTION WITH SALES OF CERTAIN EXCHANGE TRADED FUNDS (ETF) TO CUSTOMERS, FAILED TO REASONABLY SUPERVISE AND IMPLEMENT ADEQUATE CONTROLS FOR COMPLIANCE WITH NYSE RULES WITH RESPECT TO ETF PROSPECTUS DELIVERY, AND FAILED TO ESTABLISH, MAINTAIN AND ENFORCE SUPERVISORY CONTROL POLICIES AND PROCEDURES THAT TESTED AND VERIFIED THAT ITS ETF PROSPECTUS DELIVERY PROCEDURES WERE IN COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND REGULATIONS AND NYSE RULES. COMPANION AWC TO FINRA AWC CASE# 2011026502901. Status: Final Sanction Detail: CENSURE AND A FINE IN THE TOTAL AMOUNT OF $3,000,000 (PAID JOINTLY TO THE NYSE AND FINRA) Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A CENSURE AND A FINE IN THE TOTAL AMOUNT OF $3,000,000 (PAID JOINTLY TO THE NYSE AND FINRA)
Allegations: ALLEGED VIOLATION OF NASD RULES 2711 (C)(4), 2711(E), AND 2711(I) AND FINRA RULE 2010 IN THAT CITIGROUP GLOBAL MARKETS INC. ALLOWED ITS RESEARCH ANALYST TO PARTICIPATE IN THE SOLICITATION OF INVESTMENT BANKING BUSINESS, OFFERED FAVORABLE RESEARCH COVERAGE TO INDUCE RECEIPT OF INVESTMENT BANKING BUSINESS, AND FAILED TO ADOPT AND IMPLEMENT POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATIONS OF NASD RULE 2711 DURING APRIL AND MAY OF 2010. Status: Final Sanction Detail: CENSURE AND FINE IN THE AMOUNT OF $5,000,000 Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A CENSURE AND A FINE IN THE AMOUNT OF $5,000,000
Allegations: ALLEGED VIOLATION OF NYMEX RULE 854 IN THAT CITIGROUP GLOBAL MARKETS INC. SUBMITTED A POSITION ADJUSTMENT REDUCING OPEN INTEREST BY 178 CONTRACTS, OR 3.85%, IN THE FEB 2015 RBOB GASOLINE PHYSICAL FUTURES CONTRACTS ON FEBRUARY 2, 2015. Status: Final Sanction Detail: SUMMARY FINE IN THE AMOUNT OF $2,500 Summary: THE FIRM WAS ISSUED A SUMMARY FINE IN THE AMOUNT OF $2,500
Allegations: ALLEGED VIOLATION OF FINRA RULE 7450 IN THAT CITIGROUP GLOBAL MARKETS INC. TRANSMITTED TO OATS CERTAIN REPORTS THAT CONTAINED INACCURATE, INCOMPLETE, OR IMPROPERLY FORMATTED DATA DURING THE PERIOD FROM JANUARY 1, 2013 THROUGH MARCH 31, 2013. Status: Final Sanction Detail: CENSURE AND A FINE OF $25,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND A FINE OF $25,000
Allegations: ALLEGED VIOLATION OF EXCHANGE RULE 27.12A IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO PROVIDE SUFFICIENT ELECTRONIC AUDIT TRAIL DATA CORRESPONDING TO 4 ORDERS THAT WERE ENTERED ONTO THE EXCHANGE'S ELECTRONIC TRADE SYSTEM IN DECEMBER, MARCH, AND AUGUST 2013. Status: Final Sanction Detail: SUMMARY FINE IN THE AMOUNT OF $2,500 Summary: THE FIRM WAS ISSUED A SUMMARY FINE IN THE AMOUNT OF $2,500
Allegations: ALLEGED VIOLATION OF RULE 576 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO MAINTAIN ACCURATE AND CURRENT REGISTRATION IN THE EXCHANGE FEE SYSTEM AS REQUIRED DURING THE REVIEW PERIOD OF NOVEMBER 2014 THROUGH JANUARY 2015. Status: Final Sanction Detail: SUMMARY FINE OF $5,000 Summary: CGMI CONSENTED TO A SUMMARY FINE IN THE AMOUNT OF $5,000
Allegations: ALLEGED VIOLATION OF RULE 576 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO MAINTAIN ACCURATE AND CURRENT REGISTRATION IN THE EXCHANGE FEE SYSTEM AS REQUIRED DURING THE REVIEW PERIOD OF NOVEMBER 2014 THROUGH JANUARY 2015. Status: Final Sanction Detail: SUMMARY FINE OF $5,000 Summary: CGMI CONSENTED TO A SUMMARY FINE IN THE AMOUNT OF $5,000
Allegations: ALLEGED VIOLATION OF FINRA RULES 6182, 4511, 2010, SEC RULE 17A-3, AND NASD RULE 3010 IN THAT CITIGROUP GLOBAL MARKETS INC. REPORTED CERTAIN LONG SALE EXECUTIONS TO THE FINRA/NASDAQ TRADE REPORTING FACILITY AS SHORT AS THE RESULT OF A SYSTEM ISSUE, RECORDED CERTAIN LONG SALE EXECUTIONS ON ITS BOOKS AND RECORDS AS SHORT SALES, AND FAILED TO PROVIDE DOCUMENTARY EVIDENCE THAT ON THE TRADE DATES REVIEWED IN THE TRADING AND MARKET MAKING SURVEILLANCE EXAMINATION IT PERFORMED THE SUPERVISORY REVIEWS SET FORTH IN ITS WRITTEN SUPERVISORY PROCEDURES BETWEEN APRIL 2009 AND JUNE 2013. Status: Final Sanction Detail: CENSURE AND A $55,000 FINE Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND A $55,000 FINE.
Allegations: ALLEGED VIOLATION OF NASDAQ RULES 4755, 2110, 4511A, AND 3010, RULE 200(G) OF REGULATION SHO, AND SEC RULE 17A-3 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO PROPERLY MARK CERTAIN SALE ORDERS AS SHORT SALES, BETWEEN JUNE 1, 2012 AND JUNE 1, 2013, ENTERED CERTAIN ORDER INTO THE NASDAQ MARKET CENTER THAT FILED TO CORRECTLY INDICATE THAT THE ORDERS WERE SHORT SALES, IMPROPERLY MARKED SHORT SALE ORDERS WERE ALSO INCORRECTLY RECORDED AS LONG SALE ORDERS IN THE FIRM'S BOOKS AND RECORDS, AND THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND NASDAQ RULES, CONCERNING SHORT SALE ORDER MARKING PERTAINING TO ONE OF ITS ORDER HANDLING SYSTEMS BETWEEN APRIL 1, 2009 AND JUNE 30, 2013. Status: Final Sanction Detail: CENSURE, A $2,250,000 FINE, AN UNDERTAKING TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES AND AN UNDERTAKING TO PROVIDE A WRITTEN REPORT TO FINRA REGARDING THE FIRM'S SUPERVISION OF SHORT ORDER MARKING. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A $2,250,000 FINE, AN UNDERTAKING TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES AND AN UNDERTAKING TO PROVIDE A WRITTEN REPORT TO FINRA REGARDING THE FIRM'S SUPERVISION OF SHORT ORDER MARKING.
Allegations: ALLEGED VIOLATION OF SEC RULE 611(A), FINRA RULE 2010, AND NASD RULE 3010 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO ACCESS PROTECTED QUOTES IN CERTAIN TRANSACTIONS TO THE DISADVANTAGE OF ITS CUSTOMERS AND THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE RULES AND LAWS FROM JUNE 1, 2012 THROUGH AUGUST 26, 2014. Status: Final Sanction Detail: CENSURE, A FINE OF $35,000, AND AN UNDERTAKING TO REVISE THE FIRM'S PROCEDURES. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE OF $35,000, AND AN UNDERTAKING TO REVISE THE FIRM'S PROCEDURES.
Allegations: ALLEGED VIOLATION OF RULE 576 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO MAINTAIN ACCURATE AND CURRENT INFORMATION IN THE EXCHANGE FEE SYSTEM FOR TRADE DATES OCTOBER 1, 2015 THROUGH DECEMBER 31, 2015. Status: Final Sanction Detail: $10,000 SUMMARY FINE Summary: THE FIRM CONSENTED TO A $10,000 SUMMARY FINE.
Allegations: ALLEGED VIOLATION OF FINRA RULES 2360(B)(3), 2360(B)(5), 2010, AND 3110, AS WELL AS NASD RULE 3010, IN THAT CITIGROUP GLOBAL MARKETS INC.: (A) EXCEEDED THE RELEVANT POSITION LIMIT IN CERTAIN SECURITIES BETWEEN JULY 2013 AND FEBRUARY 19, 2013; (B) FAILED TO REPORT AND FAILED TO CORRECTLY REPORT CERTAIN CONVENTIONAL OPTIONS POSITIONS TO THE LARGE OPTIONS POSITIONS REPORT AT CERTAIN TIMES BETWEEN JANUARY 28, 2013 AND JANUARY 2015; AND (C) FAILED TO MAINTAIN AN ADEQUATE SYSTEM OF SUPERVISION TO COMPLY WITH THE REPORTING OF POSITIONS TO THE LOPR SYSTEM BETWEEN JANUARY 2010 AND JUNE 2015.AN ADEQUATE SYSTEM OF SUPERVISION FOR THE PERIOD BETWEEN JANUARY 2010 AND JUNE 2015. Status: Final Sanction Detail: CENSURE AND A FINE OF $50,000 Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A CENSURE AND A FINE OF $50,000
Allegations: ALLEGED VIOLATION OF EXCHANGE RULE 4.02(G)(2) IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO USE THE EXCHANGE'S CROSSING ORDER FUNCTIONALITY IN CERTAIN INSTANCES ON TRADE DATE DECEMBER 11, 2014. Status: Final Sanction Detail: SUMMARY FINE IN THE AMOUNT OF $5,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A SUMMARY FINE IN THE AMOUNT OF $5,000
Allegations: ALLEGED VIOLATION OF SEC RULES 17A-3 AND 605 AND 606 OF REGULATION NMS, FINRA RULES 4511, 2010, 7450, 7230A, AND 2265, AND NASD RULES 6955 AND 6130 IN THAT CITIGROUP GLOBAL MARKETS INC. IDENTIFIED A SYSTEM ISSUE WHICH CAUSED THE INCORRECT MARKING OF CERTAIN SHORT SALES AS LONG SALES ON ITS BOOKS AND RECORDS BETWEEN JANUARY 8, 2013 AND OCTOBER 16, 2013; IDENTIFIED OATS REPORTING ISSUES CAUSING OATS REPORTING VIOLATIONS BETWEEN NOVEMBER 21, 2008 AND DECEMBER 3, 2013 AND BETWEEN JUNE 1, 2012 AND JUNE 1, 2015; TWO SEPARATE ISSUES CAUSED THE FIRM TO INCLUDE CERTAIN ORDERS IN ITS SEC RULE 605 OF REGULATION NMS REPORTS BETWEEN JANUARY 1, 2013 AND MARCH 13, 2014 THAT SHOULD NOT HAVE BEEN INCLUDED; AND THE FIRM MADE REPORTS PUBLICLY AVAILABLE ON ITS ROUTING OF NON-DIRECTED ORDERS IN COVERED SECURITIES THAT INCLUDED INCOMPLETE INFORMATION AS TO A MATERIAL ASPECT OF THE FIRM'S RELATIONSHIP WITH ONE AFFILIATED VENUE TO WHICH IT ROUTED LARGE PERCENTAGES OF IT'S TOTAL NON-DIRECTED ORDERS DURING THE THIRD AND FOURTH CALENDAR QUARTERS OF 2015 AND THE FIRST CALENDAR QUARTER OF 2016. Status: Final Sanction Detail: CENSURE AND A $300,000 FINE Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND A $300,000 FINE
Allegations: ALLEGED VIOLATION OF EXCHANGE RULE 27.12A IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO PROVIDE ELECTRONIC AUDIT TRAIL DATA FOR CERTAIN ORDERS ENTERED ONTO THE ETS IN 2015. Status: Final Sanction Detail: FINE OF $5,000 Summary: THE FIRM CONSENTED TO A SUMMARY FINE $5,000
Allegations: ALLEGED VIOLATION OF CME RULE 811 IN WHICH CITIGROUP GLOBAL MARKETS INC. HAD REPORTING INFRACTIONS DURING THE PERIOD OF SEPTEMBER 1-30, 2016. Status: Final Sanction Detail: SUMMARY FINE OF $2,000 Summary: THE FIRM CONSENTED TO A SUMMARY FINE OF $2,000
Allegations: ALLEGED VIOLATION OF CBT RULE 811 IN WHICH CITIGROUP GLOBAL MARKETS INC. HAD REPORTING INFRACTIONS DURING THE PERIOD OF SEPTEMBER 1-30, 2016. Status: Final Sanction Detail: SUMMARY FINE OF $4,000 Summary: THE FIRM CONSENTED TO A SUMMARY FINE OF $4,000
Allegations: ALLEGED VIOLATION OF NYMEX RULE 811 IN WHICH CITIGROUP GLOBAL MARKETS INC. HAD REPORTING INFRACTIONS DURING THE PERIOD OF SEPTEMBER 1-30, 2016. Status: Final Sanction Detail: SUMMARY FINE OF $2,000 Summary: THE FIRM CONSENTED TO A SUMMARY FINE OF $2,000
Allegations: ALLEGED VIOLATION OF NASD RULES 3010(A) AND (B), SECTION 15C OF THE EXCHANGE ACT OF 1934 AND RULE 15C3-1(C)(2)(VII) THEREUNDER, SECTION 17A OF THE EXCHANGE ACT AND RULES 17A-3 THEREUNDER, AND FINRA RULES 4511 AND 2010 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO ESTABLISH AND MAINTAIN SUPERVISORY SYSTEMS, PROCEDURES AND WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ENSURE THAT IT ACCURATELY CALCULATED THE VALUE OF THE SECURITIES IT HELD FROM 2009 THROUGH AT LEAST JUNE 2012 AND THE FIRM'S SYSTEM FOR APPLYING REQUIRED DEDUCTIONS TO THE VALUE OF CERTAIN OF ITS MORTGAGE-BACKED SECURITIES POSITIONS WHEN COMPUTING THE FIRM'S NET CAPITAL WAS INADEQUATE FROM DECEMBER 2010 TRHOUGH JULY 2011. Status: Final Sanction Detail: CENSURE AND A FINE IN THE AMOUNT OF $850,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND A FINE IN THE AMOUNT OF $850,000
Allegations: ALLEGED VIOLATION OF RULE 576 IN THAT CITIGROUP GLOBAL MARKETS INC. DID NOT REGISTER CERTAIN TAG 50 IDS IN THE EXCHANGE FEE SYSTEM. Status: Final Sanction Detail: SUMMARY FINE IN THE AMOUNT OF $5,000 Summary: CGMI WAS ISSUED A SUMMARY FINE IN THE AMOUNT OF $5,000
Allegations: ALLEGED VIOLATION OF RULE 4.07(C) IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO REPORT A BLOCK TRADE IN A TIMELY MANNER. Status: Final Sanction Detail: SUMMARY FINE OF $5,000 Summary: CGMI CONSENTED TO A SUMMARY FINE IN THE AMOUNT OF $5,000
Allegations: ALLEGED VIOLATION OF FINRA RULES 7230A(B), 6622(A), 2010, AND 3110 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO ACCEPT OR DECLINE IN THE FINRA/NASDAQ TRADE REPORTING FACILITY CERTAIN TRANSACTIONS IN REPORTABLE SECURITIES WITHIN 20 MINUTES AFTER EXECUTION, THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE, AND FAILED TO SUBMIT TO THE OTC REPORTING FACILITY CERTAIN LAST SALE REPORTS OF TRANSACTIONS WITHIN 10 SECONDS AFTER EXECUTION DURING THE PERIODS JANUARY 1, 2015 THROUGH APRIL 30, 2015 AND SEPTEMBER 1, 2014 THROUGH DECEMBER 31, 2014. Status: Final Sanction Detail: CENSURE, FINE OF $65,000, AND AN UNDERTAKING TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE OF $65,000, AND AN UNDERTAKING TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES.
Allegations: ALLEGED VIOLATION OF NYMEX RULES 432.W AND 534 IN THAT A TRADER FOR CGMI ENTERED CERTAIN ORDERS IN VARIOUS NYMEX FUTURES PRODUCTS FOR DIFFERENT ACCOUNTS WHOLLY OWNED AND CONTROLLED BY CGMI AND THAT CGMI FAILED TO SUPERVISE ITS TRADER BETWEEN NOVEMBER 26, 2014 AND SEPTEMBER 29, 2015. Status: Final Sanction Detail: FINE IN THE AMOUNT OF $20,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A FINE IN THE AMOUNT OF $20,000
Allegations: ALLEGED VIOLATION OF COMEX RULES 432.W AND 534 IN THAT A TRADER FOR CGMI ENTERED CERTAIN ORDERS IN VARIOUS COMEX FUTURES PRODUCTS FOR DIFFERENT ACCOUNTS WHOLLY OWNED AND CONTROLLED BY CGMI AND THAT CGMI FAILED TO SUPERVISE ITS TRADER BETWEEN NOVEMBER 26, 2014 AND SEPTEMBER 29, 2015. Status: Final Sanction Detail: FINE IN THE AMOUNT OF $20,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A FINE IN THE AMOUNT OF $20,000
Allegations: ALLEGED VIOLATION OF FINRA RULES 2010, 2210(D)(1), AND 3110(A) AND (B) AND NASD RULES 2210(D)(1) AND 3010(A) AND (B) IN THAT CITIGROUP GLOBAL MARKETS INC. DISPLAYED TO ITS BROKERS, CUSTOMERS, AND SUPERVISORS INACCURATE RESEARCH RATINGS FOR CERTAIN EQUITY SECURITIES. THE FIRM'S FAILURE TO DISPLAY ACCURATE RESEARCH RATINGS CAUSED ITS BROKERS TO SOLICIT CERTAIN TRANSACTIONS INCONSISTENT WITH THE FIRM'S ACTUAL RATINGS AND BROKERS SOLICITED TRANSACTIONS THAT VIOLATED THE PORTFOLIO GUIDELINES OF CERTAIN FIRM-MANAGED PORTFOLIOS. THE FIRM ALSO FAILED TO TIMELY CORRECT THE INACCURATELY DISPLAYED RATINGS AND FAILED TO CONDUCT TESTING REASONABLY DESIGNED TO VERIFY THE ACCURACY OF RESEARCH RATINGS DATA THAT IT USED AND DISTRIBUTED FROM FEBRUARY 2011 THROUGH DECEMBER 2015. Status: Final Sanction Detail: CENSURE, FINE OF $5,500,000 AND AN UNDERTAKING TO PAY COMPENSATION TOTALING AT LEAST $6 MILLION TO CUSTOMERS Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE OF $5,500,000 AND AN UNDERTAKING TO PAY COMPENSATION TOTALING AT LEAST $6 MILLION TO CUSTOMERS
Allegations: ALLEGED VIOLATION OF RULE 200(F), NASD RULES 3010, 2010 AND 2110 IN THAT CITIGROUP GLOBAL MARKETS INC. DID NOT INCLUDE TWO ACCOUNTS ENGAGED IN PROPRIETARY TRANSACTION IN ANY INDEPENDENT TRADING AGGREGATION UNIT AND THE FIRM'S SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO ENSURE THAT ALL FIRM ACCOUNTS CONDUCTING PROPRIETARY BUSINESS WERE INCLUDED IN AN AGGREGATION UNIT DURING THE PERIOD NOVEMBER 21, 2008 THROUGH DECEMBER 3, 2013. Status: Final Sanction Detail: CENSURE, FINE OF $450,000, AND AN UNDERTAKING TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE OF $450,000, AND AN UNDERTAKING TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES.
Allegations: ALLEGED VIOLATION OF NASD RULES 3010, 2110, AND 2230, FINRA RULES 3110, 2010, AND 2232(A), AND SEA RULES 10B-10(A)(1) AND 10B-10(A)(2) IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO HAVE ADEQUATE SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH FEDERAL SECURITIES LAWS AND NASD AND FINRA RULES REGARDING THE ISSUANCE OF ACCURATE CUSTOMER TRADE CONFIRMATIONS FROM JUNE 2006 THROUGH AT LEAST SEPTEMBER 2017. AS A RESULT, THE FIRM ISSUED CERTAIN CUSTOMER TRADE CONFIRMATIONS THAT CONTAINED INACCURATE INFORMATION. Status: Final Sanction Detail: CENSURE, FINE OF $550,000, AND AN UNDERTAKING TO ADDRESS THE DEFICIENT SUPERVISORY SYSTEM AND WSP'S RELATING TO THE ACCURACY OF CUSTOMER TRADE CONFIRMATIONS AND TO ENSURE THAT IT HAS IMPLEMENTED CONTROLS AND PROCEDURES THAT ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE RULES AND REGULATIONS. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE OF $550,000, AND AN UNDERTAKING TO ADDRESS THE DEFICIENT SUPERVISORY SYSTEM AND WSP'S RELATING TO THE ACCURACY OF CUSTOMER TRADE CONFIRMATIONS AND TO ENSURE THAT IT HAS IMPLEMENTED CONTROLS AND PROCEDURES THAT ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE RULES AND REGULATIONS.
Allegations: ALLEGED VIOLATION OF NASD CONDUCT RULE 3010 AND FINRA RULES 3110 AND 2010 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND PROCEDURES REASONABLY DESIGNED TO ENSURE THAT ELIGIBLE CUSTOMERS WHO PURCHASED MUTUAL FUND SHARES RECEIVED THE BENEFIT OF APPLICABLE SALES CHARGE WAIVERS BETWEEN JANUARY 1, 2011 AND SEPTEMBER 30, 2016. Status: Final Sanction Detail: CENSURE, FINE IN THE AMOUNT OF $100,000, AND REMEDIATION TO ELIGIBLE CUSTOMERS INCLUDING RESTITUTION Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A CENSURE, FINE IN THE AMOUNT OF $100,000, AND REMEDIATION TO ELIGIBLE CUSTOMER INCLUDING RESTITUTION.
Allegations: ALLEGED VIOLATION OF SEC RULE 611(C) AND EDGX RULES 11.5(D)(1), 11.8(C). 5.1 AND 3.1 IN THAT CGMI FAILED TO HAVE A SYSTEM OF REVIEW FOR ISO'S INDEPENDENT OF EXECUTIONS, LIMITATIONS IN THE FIRM'S ORDER ROUTING SYSTEM LED TO A FAILURE TO RETAIN MARKET DATA SNAPSHOTS OF THE SEQUENCED QUOTES, AND A LATENCY ISSUE WITHIN THE FIRM'S SMART ORDER ROUTER CAUSED THE FIRM TO ROUTE ISO'S THROUGH PROTECTED QUOTATIONS ON CERTAIN OCCASIONS BETWEEN NOVEMBER 1, 2011 AND DECEMBER 16, 2013. IN ADDITION, THE FIRM FAILED TO SEND CERTAIN ISO'S TO BETTER-PRICED QUOTES AT ONE NATIONAL EXCHANGE AND FAILED TO SEND AN ODD LOT SIZED ISO TO A BETTER-PRICED QUOTE AT ANOTHER NATIONAL EXCHANGE ON JUNE 12, 2013. Status: Final Sanction Detail: CENSURE, FINE IN THE AMOUNT OF $27,500, AND AN UNDERTAKING TO REVISE ITS PROCESSES AND PROCEDURES Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE IN THE AMOUNT OF $27,500, AND AN UNDERTAKING TO REVISE ITS PROCESSES AND PROCEDURES.
Allegations: ALLEGED VIOLATION OF SEC RULE 611(C) AND BYX RULES 11.9(D)(1), 11.9(D). 5.1 AND 3.1 IN THAT CGMI FAILED TO HAVE A SYSTEM OF REVIEW FOR ISO'S INDEPENDENT OF EXECUTIONS, LIMITATIONS IN THE FIRM'S ORDER ROUTING SYSTEM LED TO A FAILURE TO RETAIN MARKET DATA SNAPSHOTS OF THE SEQUENCED QUOTES, AND A LATENCY ISSUE WITHIN THE FIRM'S SMART ORDER ROUTER CAUSED THE FIRM TO ROUTE ISO'S THROUGH PROTECTED QUOTATIONS ON CERTAIN OCCASIONS BETWEEN NOVEMBER 1, 2011 AND DECEMBER 16, 2013. IN ADDITION, THE FIRM FAILED TO SEND CERTAIN ISO'S TO BETTER-PRICED QUOTES AT ONE NATIONAL EXCHANGE AND FAILED TO SEND AN ODD LOT SIZED ISO TO A BETTER-PRICED QUOTE AT ANOTHER NATIONAL EXCHANGE ON JUNE 12, 2013. Status: Final Sanction Detail: CENSURE, FINE IN THE AMOUNT OF $27,500, UNDERTAKING TO REVISE ITS PROCESSES AND PROCEDURES Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE IN THE AMOUNT OF $27,500, AND AN UNDERTAKING TO REVISE ITS PROCESSES AND PROCEDURES.
Allegations: ALLEGED VIOLATION OF SEC RULE 611(C) AND BZX RULES 11.9(D)(1), 11.9(D). 5.1 AND 3.1 IN THAT CGMI FAILED TO HAVE A SYSTEM OF REVIEW FOR ISO'S INDEPENDENT OF EXECUTIONS, LIMITATIONS IN THE FIRM'S ORDER ROUTING SYSTEM LED TO A FAILURE TO RETAIN MARKET DATA SNAPSHOTS OF THE SEQUENCED QUOTES, AND A LATENCY ISSUE WITHIN THE FIRM'S SMART ORDER ROUTER CAUSED THE FIRM TO ROUTE ISO'S THROUGH PROTECTED QUOTATIONS ON CERTAIN OCCASIONS BETWEEN NOVEMBER 1, 2011 AND DECEMBER 16, 2013. IN ADDITION, THE FIRM FAILED TO SEND CERTAIN ISO'S TO BETTER-PRICED QUOTES AT ONE NATIONAL EXCHANGE AND FAILED TO SEND AN ODD LOT SIZED ISO TO A BETTER-PRICED QUOTE AT ANOTHER NATIONAL EXCHANGE ON JUNE 12, 2013. Status: Final Sanction Detail: CENSURE, FINE IN THE AMOUNT OF $27,500, UNDERTAKING TO REVISE ITS PROCESSES AND PROCEDURES Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE IN THE AMOUNT OF $27,500, AND AN UNDERTAKING TO REVISE ITS PROCESSES AND PROCEDURES.
Allegations: ALLEGED VIOLATION OF CBT RULES 807 AND 811 IN THAT CITIGROUP GLOBAL MARKETS INC. OVERREPORTED LONG POSITIONS ELIGIBLE FOR DELIVERY IN CERTAIN FUTURES CONTRACTS ON TRADE DATES FEBRUARY 27 AND FEBRUARY 28, 2019 AND INACCURATELY REPORTED CERTAIN OPEN INTEREST POSITIONS TO THE EXCHANGE BETWEEN FEBRUARY 1, 2019 AND FEBRUARY 27, 2019. Status: Final Sanction Detail: SUMMARY FINE OF $7,000; $5,000 FOR VIOLATION OF RULE 807 AND $2,000 FOR VIOLATION OF RULE 811 Summary: CGMI CONSENTED TO A SUMMARY FINE IN THE AMOUNT OF $7,000 WHICH CONSISTED OF $5,000 FOR VIOLATION OF RULE 807 AND $2,000 FOR VIOLATION OF RULE 811
Allegations: ALLEGED VIOLATION OF NYMEX RULE 811 IN THAT CITIGROUP GLOBAL MARKETS INC. INACCURATELY REPORTED CERTAIN OPEN INTEREST POSITIONS TO THE EXCHANGE BETWEEN FEBRUARY 1, 2019 AND FEBRUARY 27, 2019. Status: Final Sanction Detail: SUMMARY FINE OF $2,000 Summary: CGMI CONSENTED TO SUMMARY FINE OF $2,000
Allegations: ALLEGED VIOLATION OF CME RULE 811 IN THAT CITIGROUP GLOBAL MARKETS INC. INACCURATELY REPORTED CERTAIN OPEN INTEREST POSITIONS TO THE EXCHANGE BETWEEN FEBRUARY 1, 2019 AND FEBRUARY 27, 2019. Status: Final Sanction Detail: SUMMARY FINE OF $2,000 Summary: CGMI CONSENTED TO A SUMMARY FINE OF $2,000
Allegations: ALLEGED VIOLATION OF FINRA RULES 2010, 3110, AND NASD RULE 3010 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO IDENTIFY AND APPLY SALES CHARGE DISCOUNTS TO CERTAIN ELIGIBLE PURCHASES OF UNIT INVESTMENT TRUSTS ("UITS"), FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES REASONABLY DEISGNED TO ACHIEVE COMPLIANCE, AND FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE UIT TRADING FROM FEBRUARY 2011 TO FEBRUARY 2017. Status: Final Sanction Detail: CENSURE, FINE IN THE AMOUNT OF $225,000, AND RESTITUTION IN THE AMOUNT OF $152,488.59, PLUS INTEREST Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE IN THE AMOUNT OF $225,000, AND RESTITUTION IN THE AMOUNT OF $152,488.59 PLUS INTEREST
Allegations: ALLEGED VIOLATION OF NASDAQ RULES 4613(A), 3010 AND 2010A IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO MAINTAIN A CONTINUOUS TWO-SIDED TRADING INTEREST, DURING REGULAR MARKET HOURS, AT PRICES WITHIN CERTAIN PERCENTAGES AWAY FROM THE NBBO IN CERTAIN INSTANCES AND THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO MARKET MAKER QUOTING OBLIGATIONS DURING THE PERIOD JANUARY 1, 2015 THROUGH MARCH 31, 2017. Status: Final Sanction Detail: CENSURE, FINE OF $100,000, AND AN UNDERTAKING TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE OF $100,000, AND AN UNDERTAKING TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES.
Allegations: ALLEGED VIOLATION OF NASD RULES 3010(A) AND 3010(B) AND FINRA RULES 3110(A), 3110(B), AND 2010 WHERE CITIGROUP GLOBAL MARKETS INC. ALLEGEDLY FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE SUPERVISORY SYSTEMS AND PROCEDURES TO TAKE INTO ACCOUNT ANY CHANGES IN THE AUTHORITY OF CUSTODIANS OF UNIFORM GIFT TO MINORS ACT/UNIFORM TRANSFER TO MINORS ACT ACCOUNTS TO EFFECT TRANSACTIONS ON BEHALF OF THE BENEFICIARIES OF THOSE ACCOUNTS FROM SEPTEMBER 1, 2014 THROUGH SEPTEMBER 6, 2018. Status: Final Sanction Detail: CENSURE, $300,000 FINE, AND AN UNDERTAKING TO REVIEW THE FIRM'S POLICIES, SYSTEMS, AND PROCEDURES REGARDING THE SUPERVISION OF CUSTODIAL ACCOUNTS AND GUARDIANSHIP ACCOUNTS WHERE THE BENEFICIARY WAS A MINOR Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A $300,000 FINE, AND AN UNDERTAKING TO REVIEW THE FIRM'S POLICIES, SYSTEMS, AND PROCEDURES REGARDING THE SUPERVISION OF CUSTODIAL ACCOUNTS AND GUARDIANSHIP ACCOUNTS WHERE THE BENEFICIARY WAS A MINOR
Allegations: ALLEGED VIOLATION OF SEC RULES 201(B) AND 203(B) OF REGULATION SHO, FINRA RULES 6182, 6624, 3110, AND 2010 AND NASD RULE 3010 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO OBTAIN LOCATES FOR CERTAIN SHORT SALE TRANSACTIONS AND FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN POLICES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE EXECUTION OR DISPLAY OF A SHORT SALE ORDER IN A COVERED SECURITY SUBJECT TO A SHORT SALE CIRCUIT BREAKER AT A PRICE AT OR BELOW THE NATIONAL BEST BID BETWEEN JUNE 2010 AND SEPTEMBER 2016 AND FAILED TO REPORT ACCURATELY CERTAIN TRANSACTIONS TO A FINRA TRADE REPORTING FACILITY WITH A SHORT SALE OR SHORT SALE EXEMPT INDICATOR AND FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING SUPERVISORY PROCEDURES, WITH RESPECT TO SEC RULE 201(B) OF REGULATION SHO, SEC RULE 203(B)(1) OR REGULATION SHO, AND ACCURATE SHORT SALE TRANSACTION REPORTING BETWEEN JUNE 2012 AND NOVEMBER 2016. Status: Final Sanction Detail: CENSURE, FINE OF $225,000, AND AN UNDERTAKING TO REVISE THE SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE OF $225,000, AND AN UNDERTAKING TO REVISE THE SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES
Allegations: ALLEGED VIOLATION OF CME RULE 526.F IN THAT CITIGROUP GLOBAL MARKETS INC. REPORTED CERTAIN BLOCK TRADES LATE TO THE EXCHANGE ON JANUARY 28TH AND 30TH, 2020. Status: Final Sanction Detail: SUMMARY FINE OF $1,500 Summary: CGMI CONSENTED TO A SUMMARY FINE OF $1,500
Allegations: ALLEGED VIOLATION OF RULE 16 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO COMPLY WITH ITS DUE DILIGENCE AND BEST EXECUTION OBLIGATIONS WITH RESPECT TO ITS HANDLING OF A CUSTOMER ORDER ON OCTOBER 27, 2017. Status: Final Sanction Detail: CENSURE AND A FINE OF $95,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND FINE OF $95,000
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT (1) DUE TO RELIANCE ON A DATA FEED FROM A THIRD-PARTY SERVICE PROVIDER TO IDENTIFY THE FIRM'S ROLE IN TRANSACTIONS FOR ISSUERS COVERED BY FIRM RESEARCH REPORTS, THE FIRM OMITTED APPROXIMATELY 24,800 REQUIRED DISCLOSURES IN 16,850 EQUITY RESEARCH REPORTS THAT IT WAS EITHER A MANAGER OR CO-MANAGER OF A PUBLIC OFFERING OF EQUITY SECURITIES FOR THE COMPANIES COVERED IN THE REPORTS, WHICH CONSTITUTED APPROXIMATELY 6.75% OF REQUIRED MANAGER/CO-MANAGER DISCLOSURES DURING THE FIVE-YEAR PERIOD AND AFFECTED APPROXIMATELY 4.43% OF PUBLISHED EQUITY RESEARCH REPORTS DURING THE TIME PERIOD IN VIOLATION OF NASD RULE 2711(H)(2)(A)(II)(A) AND FINRA RULE 2241(C)(4)(C)(I), AND (2) THE FIRM'S OMISSIONS WERE THE RESULT, IN PART, OF THE FIRM'S FAILURE TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH NASD RULE 2711(H)(2)(A)(II)(A) AND FINRA RULE 2241(C)(4)(C)(I). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM WAS CENSURED, FINED $475,000 AND REQUIRED TO SUBMIT TO FINRA A WRITTEN CERTIFICATION THAT THE FIRM HAS COMPLETED A REVIEW OF ITS SYSTEMS AND WRITTEN PROCEDURES REGARDING THE SUPERVISION OF DISCLOSURES IN RESEARCH REPORTS AND THAT THE FIRM'S SYSTEMS AND WRITTEN PROCEDURES ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE APPLICABLE SECURITIES LAWS, REGULATIONS AND FINRA RULES. Summary: IN RESOLVING THE MATTER, FINRA RECOGNIZED CGMI'S EXTRAORDINARY COOPERATION.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE REPRESENTATIVES' RECOMMENDATIONS TO CUSTOMERS TO PURCHASE PARTICULAR SHARE CLASSES OF 529 SAVINGS PLANS IN VIOLATION OF MSRB RULE G-27(A) AND (B). THE FINDINGS STATED THAT THE FIRM'S SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO SUPERVISE 529 SHARE-CLASS RECOMMENDATIONS EXECUTED THROUGH TRANSACTIONS MADE DIRECTLY WITH PLAN FUND COMPANIES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM WAS CENSURED AND AGREED TO PAY RESTITUTION OF $514,932, PLUS INTEREST. Summary: IN RESOLVING THE MATTER, FINRA RECOGNIZED AND CREDITED CGMI'S EXTRAORDINARY COOPERATION.
Allegations: ALLEGED VIOLATION OF RULES 611(A) AND (C)OF REGULATION NMS, NASD RULE 3010, AND FINRA RULES 3110 AND 2010 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT TRADE-THROUGHS OF PROTECTED QUOTATIONS IN NMS STOCKS. IN ADDITION, THE FIRM FAILED TO CONDUCT REGULAR SURVEILLANCE TO ASCERTAIN THE EFFECTIVENESS OF ITS RULE 611 COMPLIANCE PROGRAM AND TO TAKE PROMPT ACTION TO REMEDY ANY DEFICIENCIES BETWEEN JANUARY 2013 AND APRIL 2020. Status: Final Sanction Detail: CENSURE, $175,000 FINE, UNDERTAKING TO ENSURE THAT THE FIRM'S PROCESSES, CONTROLS, POLICIES, SYSTEMS, AND PROCEDURES ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 611 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A $175,000, AND AN UNDERTAKING TO ENSURE THAT THE FIRM'S PROCESSES, CONTROLS, POLICIES, SYSTEMS, AND PROCEDURES ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 611
Allegations: ALLEGED VIOLATION OF NYSE RULES 122 AND 3110(A) AND (B) IN THAT CITIGROUP GLOBAL MARKETS INC. MAINTAINED ORDERS FOR THE ACCOUNT OF THE SAME PRINCIPAL WITH TWO DIFFERENT FLOOR BROKERS IN THE SAME SECURITY THAT COULD EXECUTE AT THE SAME TIME AND PRICE BETWEEN DECEMBER 1, 2018 AND DECEMBER 31, 2018 AND FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE FROM JANUARY 2018 THROUGH THE PRESENT. Status: Final Sanction Detail: CENSURE AND FINE OF $40,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND A FINE OF $40,000
Allegations: ALLEGED VIOLATION OF FINRA RULES 3110(A), 3110(B), 3110(D), AND 2010 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO MONITOR ITS EMPLOYEES' OUTSIDE BROKERAGE ACCOUNTS DURING THE PERIOD FROM AT LEAST JUNE 2017 TO FEBRUARY 2019. Status: Final Sanction Detail: CENSURE AND A FINE OF $350,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND A FINE OF $350,000
Allegations: ALLEGED VIOLATION OF RULE 576 IN THAT CITIGROUP GLOBAL MARKETS INC. SUBMITTED DEFAULT OPERATOR ID'S THAT REPRESENTED MULTIPLE USERS AND FAILED TO MAINTAIN ACCURATE AND CURRENT REGISTRATION IN THE EXCHANGE FEE SYSTEM AND CERTAIN OPERATOR ID'S WERE NOT REGISTERED IN EFS FROM JANUARY 1, 2021 THROUGH MARCH 31, 2021. Status: Final Sanction Detail: SUMMARY FINE OF $2,000 Summary: FIRM WAS ISSUED A SUMMARY FINE OF $2,000
Allegations: ALLEGED VIOLATION OF RULE 576 IN THAT CITIGROUP GLOBAL MARKETS INC. SUBMITTED DEFAULT OPERATOR ID'S THAT REPRESENTED MULTIPLE USERS AND FAILED TO MAINTAIN ACCURATE AND CURRENT REGISTRATION IN THE EXCHANGE FEE SYSTEM AND CERTAIN OPERATOR ID'S WERE NOT REGISTERED IN EFS FROM JANUARY 1, 2021 THROUGH MARCH 31, 2021. Status: Final Sanction Detail: SUMMARY FINE OF $2,000 Summary: FIRM WAS ISSUED A SUMMARY FINE OF $2,000
Allegations: ALLEGED VIOLATION OF RULE 526 AND 526.F IN THAT CITIGROUP GLOBAL MARKETS INC. DID NOT REPORT A BLOCK TRADE IN A TIMELY MANNER OR WITH AN ACCURATE EXECUTION TIME TO THE EXCHANGE ON CERTAIN OCCASIONS IN JUNE 2021. Status: Final Sanction Detail: FINE OF $2,500 Summary: THE FIRM WAS ISSUED A FINE OF $2,500
Allegations: ALLEGED VIOLATION OF NOM RULE OPTIONS 5, SECTION 101 AND RULES 3010(A) AND 2010(A) IN THAT CITIGROUP GLOBAL MARKETS INC. SUBMITTED A CONTRARY EXERCISE ADVICE WITHOUT MEETING THE EXCEPTIONS SET FORTH IN THE RULE IN ORDER TO TAKE ADVANTAGE OF A MATERIAL NEWS ANNOUNCEMENT AFTER THE 5:30 P.M. EXERCISE CUT-OFF TIME ON FEBRUARY 15, 2019 AND THE FIRM'S SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGEND TO ENSURE THAT EMPLOYEES SUBMITTED CEA'S IN ACCORDANCE WITH NOM RULES FROM AT LEAST FEBRUARY 2019 THROUGH JULY 2021. Status: Final Sanction Detail: CENSURE, FINE OF $50,000, RESTITUTION OF $1,722,604.27 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE, A FINE OF $50,000 AND RESTITUTIONS OF $1,722,604.27
Allegations: ALLEGED VIOLATION OF ARTICLE V, SECTION 2(C) OF FINRA'S BY-LAWS, FINRA RULE 3110 AND 2010 IN THAT CITIGROUP GLOBAL MARKETS INC. FAILED TO AMEND, TIMELY OR AT ALL, THE UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER (FORM U4) OF CERTAIN REGISTERED REPRESENTATIVES TO DISCLOSE CERTAIN UNSATISFIED TAX LIENS AND JUDGMENTS AND FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ENSURE THAT IT DISCLOSED UNSATISFIED LIENS OR JUDGMENTS OF REGISTERED REPRESENTATIVES ON FORM U4S FROM JANUARY 1, 2016 THROUGH AUGUST 31, 2021. Status: Final Sanction Detail: CENSURE, $375,000 FINE Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND $375,000 FINE
Allegations: CBOE BZX EXCHANGE, INC. ("BZX") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") MARKED OPTIONS ORDERS ON BEHALF OF ITS CLIENT AND NON-BROKER-DEALER AFFILIATE IN A NON-CUSTOMER CAPACITY OF THE FIRM WHERE SUCH ORDERS SHOULD HAVE BEEN MARKED IN A CUSTOMER CAPACITY AND DID NOT REFLECT THE CORRECT CAPACITY CODE FOR SUCH TRADES IN THE FIRM'S BOOKS AND RECORDS, IN VIOLATION OF BZX RULES 18.1, 18.2, 20.7 AND 24.1, AS WELL AS SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 17A-3 THEREUNDER. BZX ALSO ALLEGED THAT CGMI FAILED TO ESTABLISH, MAINTAIN AND ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES TO REASONABLY PREVENT AND DETECT VIOLATIONS OF BZX RULES WITH REGARD TO ACCURATELY MARKING AND EXECUTING ITS ORDERS WITH THE CORRECT CAPACITY CODES, IN VIOLATION OF BZX RULE 5.1. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THAT VIOLATIONS OF BZX RULES OR THE EXCHANGE ACT HAVE BEEN COMMITTED, CGMI AGREED TO BE CENSURED AND TO PAY A MONETARY PENALTY OF $75,000, $12,135 OF WHICH IS PAYABLE TO BZX. Summary: WITHOUT ADMITTING OR DENYING THAT VIOLATIONS OF BZX RULES OR THE EXCHANGE ACT HAVE BEEN COMMITTED, CGMI AGREED TO BE CENSURED AND TO PAY A MONETARY PENALTY OF $75,000, $12,135 OF WHICH IS PAYABLE TO BZX.
Allegations: CBOE C2 EXCHANGE, INC. ("C2") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") MARKED OPTIONS ORDERS ON BEHALF OF ITS CLIENT AND NON-BROKER-DEALER AFFILIATE IN A NON-CUSTOMER CAPACITY OF THE FIRM WHERE SUCH ORDERS SHOULD HAVE BEEN MARKED IN A CUSTOMER CAPACITY AND DID NOT REFLECT THE CORRECT CAPACITY CODE FOR SUCH TRADES IN THE FIRM'S BOOKS AND RECORDS, IN VIOLATION OF C2 RULES 4.2, 4.22, 6.9 AND 7.1, AS WELL AS SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 17A-3 THEREUNDER. C2 ALSO ALLEGED THAT CGMI FAILED TO ESTABLISH, MAINTAIN AND ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES TO REASONABLY PREVENT AND DETECT VIOLATIONS OF C2 RULES WITH REGARD TO ACCURATELY MARKING AND EXECUTING ITS ORDERS WITH THE CORRECT CAPACITY CODES, IN VIOLATION OF C2 RULE 4.24. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THAT VIOLATIONS OF C2 RULES OR THE EXCHANGE ACT HAVE BEEN COMMITTED, CGMI AGREED TO BE CENSURED AND TO PAY A MONETARY PENALTY OF $75,000, $10,315 OF WHICH IS PAYABLE TO C2. Summary: WITHOUT ADMITTING OR DENYING THAT VIOLATIONS OF C2 RULES OR THE EXCHANGE ACT HAVE BEEN COMMITTED, CGMI AGREED TO BE CENSURED AND TO PAY A MONETARY PENALTY OF $75,000, $10,315 OF WHICH IS PAYABLE TO C2.
Allegations: CBOE EXCHANGE, INC. ("CBOE") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") MARKED OPTIONS ORDERS ON BEHALF OF ITS CLIENT AND NON-BROKER-DEALER AFFILIATE IN A NON-CUSTOMER CAPACITY OF THE FIRM WHERE SUCH ORDERS SHOULD HAVE BEEN MARKED IN A CUSTOMER CAPACITY AND DID NOT REFLECT THE CORRECT CAPACITY CODE FOR SUCH TRADES IN THE FIRM'S BOOKS AND RECORDS, IN VIOLATION OF CBOE RULES 6.1, 7.1, 8.2 AND 8.14, AS WELL AS SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 17A-3 THEREUNDER. CBOE ALSO ALLEGED THAT CGMI FAILED TO ESTABLISH, MAINTAIN AND ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES TO REASONABLY PREVENT AND DETECT VIOLATIONS OF CBOE RULES WITH REGARD TO ACCURATELY MARKING AND EXECUTING ITS ORDERS WITH THE CORRECT CAPACITY CODES, IN VIOLATION OF CBOE RULE 8.16. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THAT VIOLATIONS OF CBOE RULES OR THE EXCHANGE ACT HAVE BEEN COMMITTED, CGMI AGREED TO BE CENSURED AND TO PAY A MONETARY PENALTY OF $75,000, $42,200 OF WHICH IS PAYABLE TO CBOE. Summary: WITHOUT ADMITTING OR DENYING THAT VIOLATIONS OF CBOE RULES OR THE EXCHANGE ACT HAVE BEEN COMMITTED, CGMI AGREED TO BE CENSURED AND TO PAY A MONETARY PENALTY OF $75,000, $42,200 OF WHICH IS PAYABLE TO CBOE.
Allegations: CBOE EDGX EXCHANGE, INC. ("EDGX") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") MARKED OPTIONS ORDERS ON BEHALF OF ITS CLIENT AND NON-BROKER-DEALER AFFILIATE IN A NON-CUSTOMER CAPACITY OF THE FIRM WHERE SUCH ORDERS SHOULD HAVE BEEN MARKED IN A CUSTOMER CAPACITY AND DID NOT REFLECT THE CORRECT CAPACITY CODE FOR SUCH TRADES IN THE FIRM'S BOOKS AND RECORDS, IN VIOLATION OF EDGX RULES 18.1, 18.2, 20.7 AND 24.1, AS WELL AS SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 17A-3 THEREUNDER. EDGX ALSO ALLEGED THAT CGMI FAILED TO ESTABLISH, MAINTAIN AND ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES TO REASONABLY PREVENT AND DETECT VIOLATIONS OF EDGX RULES WITH REGARD TO ACCURATELY MARKING AND EXECUTING ITS ORDERS WITH THE CORRECT CAPACITY CODES, IN VIOLATION OF EDGX RULE 5.1. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THAT VIOLATIONS OF EDGX RULES OR THE EXCHANGE ACT HAVE BEEN COMMITTED, CGMI AGREED TO BE CENSURED AND TO PAY A MONETARY PENALTY OF $75,000, $10,350 OF WHICH IS PAYABLE TO EDGX. Summary: WITHOUT ADMITTING OR DENYING THAT VIOLATIONS OF EDGX RULES OR THE EXCHANGE ACT HAVE BEEN COMMITTED, CGMI AGREED TO BE CENSURED AND TO PAY A MONETARY PENALTY OF $75,000, $10,350 OF WHICH IS PAYABLE TO EDGX.
Allegations: THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") VIOLATED RULE 200(F) OF REGULATION SHO AND FINRA RULE 2010 BY IMPROPERLY INCLUDING SECURITIES POSITIONS OF NON-BROKER-DEALER AFFILIATES IN TWO OF ITS AGGREGATION UNITS WHEN CALCULATING THE NET POSITIONS OF THE AGGREGATION UNITS WHEN CALCULATING THE NET POSITIONS OF THE AGGREGATION UNITS AND FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE, A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 200(F), IN VIOLATION OF FINRA RULES 3110 AND 2010. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, CGMI AGREED TO BE CENSURED, TO PAY A MONETARY PENALTY OF $1,500,000 AND TO COMPLY WITH CERTAIN UNDERTAKINGS RELATED TO REMEDIATION OF THE ISSUES IN THE AWC AND IMPLEMENTATION OF A SUPERVISORY SYSTEM RELATED TO THE ISSUES IN THE AWC. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, CGMI AGREED TO BE CENSURED, TO PAY A MONETARY PENALTY OF $1,500,000 AND TO COMPLY WITH CERTAIN UNDERTAKINGS RELATED TO REMEDIATION OF THE ISSUES IN THE AWC AND IMPLEMENTATION OF A SUPERVISORY SYSTEM RELATED TO THE ISSUES IN THE AWC.
Allegations: NYSE AMERICAN LLC ("NYSE AMERICAN") FOUND THAT CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") VIOLATED NYSE AMERICAN RULE 16 IN CONNECTION WITH THE HANDLING OF A CUSTOMER OPTIONS ORDER. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM ENTERED AN AWC UNDER WHICH IT AGREED TO BE CENSURED AND PAY A $45,000 FINE. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. Summary: THE FIRM HAD PREVIOUSLY OFFERED RESTITUTION TO ITS CUSTOMER IN THE AMOUNT OF $34,895, WHICH THE CUSTOMER ACCEPTED, AND ALSO TOOK CERTAIN REMEDIAL MEASURES.
Allegations: ALLEGED VIOLATION OF CBOT RULE 980.A IN THAT CITIGROUP GLOBAL MARKETS INC. (CGMI) FAILED TO PREPARE, MAINTAIN AND KEEP CURRENT BOOKS AND RECORDS REQUIRED BY THE RULES OF THE EXCHANGE, THE COMMODITY EXCHANGE ACT AND THE REGULATIONS THEREUNDER, ON AUGUST 17, 2023. Status: Final Sanction Detail: FINE OF $150,000.00 Summary: CGMI CONSENTED TO A FINE OF $150,000.00.
Allegations: ALLEGED VIOLATION OF RULE 536.F, CITIGROUP GLOBAL MARKETS INC. , (CGMI), DATA ENTRY ERRORS EXCEEDED THE 10% THRESHOLD LEVEL FROM MARCH 1, 2023 THROUGH JUNE 30, 2023. Status: Final Sanction Detail: FINE OF $2,500.00. Summary: CGMI CONSENTED TO A FINE OF $2,500.00.
Allegations: THE FINANCIAL INDUSTRY REGULATION AUTHORITY ("FINRA") ALLEGED THAT CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") OVER-TENDERED SHARES IN 13 PARTIAL TENDER OFFERS FROM NOVEMBER 2017 THROUGH AUGUST 2022, IN VIOLATION OF RULE 14E-4 OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND FINRA RULE 2010, AND FAILED TO HAVE A SUPERVISORY SYSTEM OR WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH EXCHANGE ACT RULE 14E-4 FROM NOVEMBER 2017 THROUGH DECEMBER 2020, IN VIOLATION OF FINRA RULES 3110(A) AND (B) AND 2010. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM ENTERED AN AWC UNDER WHICH IT AGREED TO BE CENSURED, PAY A $2.5 MILLION FINE, OF WHICH $833,334 WAS PAYABLE TO FINRA, AND PAY DISGORGEMENT IN THE AMOUNT OF $5,771,489, OF WHICH $1,923,829 WAS PAYABLE TO FINRA. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. THE AWC SIMULTANEOUSLY RESOLVED SIMILAR MATTERS BROUGHT BY NYSE ARCA, INC. AND NYSE AMERICAN LLC AND THE REMAINDER OF THE FINE AND DISGORGEMENT WAS ALLOCATED BETWEEN NYSE ARCA, INC. AND NYSE AMERICAN LLC. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM ENTERED AN AWC UNDER WHICH IT AGREED TO BE CENSURED, PAY A $2.5 MILLION FINE, OF WHICH $833,334 WAS PAYABLE TO FINRA, AND PAY DISGORGEMENT IN THE AMOUNT OF $5,771,489, OF WHICH $1,923,829 WAS PAYABLE TO FINRA. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. THE AWC SIMULTANEOUSLY RESOLVED SIMILAR MATTERS BROUGHT BY NYSE ARCA, INC. AND NYSE AMERICAN LLC AND THE REMAINDER OF THE FINE AND DISGORGEMENT WAS ALLOCATED BETWEEN NYSE ARCA, INC. AND NYSE AMERICAN LLC.
Allegations: NYSE AMERICAN LLC ("NYSE AMERICAN") ALLEGED THAT CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") OVER-TENDERED SHARES IN 13 PARTIAL TENDER OFFERS FROM NOVEMBER 2017 THROUGH AUGUST 2022, IN VIOLATION OF RULE 14E-4 OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT"), AND FAILED TO HAVE A SUPERVISORY SYSTEM OR WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH EXCHANGE ACT RULE 14E-4 FROM NOVEMBER 2017 THROUGH DECEMBER 2020, IN VIOLATION OF NYSE AMERICAN RULE 320. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM ENTERED AN AWC UNDER WHICH IT AGREED TO BE CENSURED, PAY A $2.5 MILLION FINE, OF WHICH $833,333 WAS PAYABLE TO NYSE AMERICAN, AND PAY DISGORGEMENT IN THE AMOUNT OF $5,771,489, OF WHICH $1,923,829 WAS PAYABLE TO NYSE AMERICAN. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. THE AWC SIMULTANEOUSLY RESOLVED SIMILAR MATTERS BROUGHT BY NYSE ARCA, INC. AND FINRA AND THE REMAINDER OF THE FINE AND DISGORGEMENT WAS ALLOCATED BETWEEN NYSE ARCA, INC. AND FINRA. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM ENTERED AN AWC UNDER WHICH IT AGREED TO BE CENSURED, PAY A $2.5 MILLION FINE, OF WHICH $833,333 WAS PAYABLE TO NYSE AMERICAN, AND PAY DISGORGEMENT IN THE AMOUNT OF $5,771,489, OF WHICH $1,923,829 WAS PAYABLE TO NYSE AMERICAN. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. THE AWC SIMULTANEOUSLY RESOLVED SIMILAR MATTERS BROUGHT BY NYSE ARCA, INC. AND FINRA AND THE REMAINDER OF THE FINE AND DISGORGEMENT WAS ALLOCATED BETWEEN NYSE ARCA, INC. AND FINRA.
Allegations: NYSE ARCA, INC. ("NYSE ARCA") ALLEGED THAT CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") OVER-TENDERED SHARES IN 13 PARTIAL TENDER OFFERS FROM NOVEMBER 2017 THROUGH AUGUST 2022, IN VIOLATION OF RULE 14E-4 OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT"), AND FAILED TO HAVE A SUPERVISORY SYSTEM OR WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH EXCHANGE ACT RULE 14E-4 FROM NOVEMBER 2017 THROUGH DECEMBER 2020, IN VIOLATION OF NYSE ARCA RULE 11.18(B) AND (C). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM ENTERED AN AWC UNDER WHICH IT AGREED TO BE CENSURED, PAY A $2.5 MILLION FINE, OF WHICH $833,333 WAS PAYABLE TO NYSE ARCA, AND PAY DISGORGEMENT IN THE AMOUNT OF $5,771,489, OF WHICH $1,923,829 WAS PAYABLE TO NYSE ARCA. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. THE AWC SIMULTANEOUSLY RESOLVED SIMILAR MATTERS BROUGHT BY FINRA AND NYSE AMERICAN LLC AND THE REMAINDER OF THE FINE AND DISGORGEMENT WAS ALLOCATED BETWEEN FINRA AND NYSE AMERICAN LLC. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM ENTERED AN AWC UNDER WHICH IT AGREED TO BE CENSURED, PAY A $2.5 MILLION FINE, OF WHICH $833,333 WAS PAYABLE TO NYSE ARCA, AND PAY DISGORGEMENT IN THE AMOUNT OF $5,771,489, OF WHICH $1,923,829 WAS PAYABLE TO NYSE ARCA. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. THE AWC SIMULTANEOUSLY RESOLVED SIMILAR MATTERS BROUGHT BY FINRA AND NYSE AMERICAN LLC AND THE REMAINDER OF THE FINE AND DISGORGEMENT WAS ALLOCATED BETWEEN FINRA AND NYSE AMERICAN LLC.
Allegations: THE ICE FUTURES U.S. ("IFUS") BUSINESS CONDUCT COMMITTEE ("COMMITTEE") ALLEGED THAT, FROM AT LEAST 2015 THROUGH THE BEGINNING OF NOVEMBER 2022, CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") MAY HAVE VIOLATED IFUS RULES 2.12 AND 6.15(A) BY MISREPORTING OPEN INTEREST AND LARGE TRADER POSITIONS. IFUS ALSO ALLEGED THAT CGMI MAY HAVE VIOLATED IFUS RULE 4.01(A) AND (B) BY FAILING TO DILIGENTLY SUPERVISE THE IFUS-RELATED ACTIVITIES OF ITS EMPLOYEES AND FAILING TO ESTABLISH, ADMINISTER, AND ENFORCE SUPERVISORY SYSTEMS, POLICIES, AND PROCEDURES THAT ARE REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH IFUS RULES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGED RULE VIOLATIONS, THE FIRM AGREED TO PAY A $900,000 FINE. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE DISCIPLINARY NOTICE. Summary: WITHOUT ADMITTING OR DENYING THE RULE VIOLATIONS, THE FIRM AGREED TO PAY A $900,000 FINE. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE DISCIPLINARY NOTICE.
Allegations: ICE FUTURES EUROPE (THE "EXCHANGE") ALLEGED THAT CITIGROUP GLOBAL MARKETS, INC. (THE "FIRM") DID NOT COMPLY WITH EXCHANGE RULES C.4, G.17.5, AND P.2(A)(II) BY REPORTING INACCURATE CLIENT POSITIONS TO THE EXCHANGE AND ICE CLEAR EUROPE THROUGH ITS LARGE TRADER AND GROSS CUSTOMER MARGIN REPORTS. THE EXCHANGE ALSO ALLEGED THAT THE FIRM DID NOT HAVE ADEQUATE SYSTEMS AND CONTROLS IN PLACE TO ENSURE ACCURATE POSITION REPORTING IN VIOLATION OF EXCHANGE RULES A.11.1(A)(B) AND (D) AND B.3C(B). Status: Final Sanction Detail: THE FIRM AGREED TO THE ENTRY OF FINDINGS AND TO PAY A FINE IN THE AMOUNT OF GBP 584,500 (APPROXIMATELY USD 738,422). THE FINE AMOUNT WAS DECREASED FROM GBP 835,000 (APPROXIMATELY USD 1,054,889) TO GBP 584,500 FOR EARLY SETTLEMENT. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE DISCIPLINARY NOTICE. Summary: THE FIRM AGREED TO THE ENTRY OF FINDINGS AND TO PAY A FINE IN THE AMOUNT OF GBP 584,500 (APPROXIMATELY USD 738,422). THE FINE AMOUNT WAS DECREASED FROM GBP 835,000 (APPROXIMATELY USD 1,054,889) TO GBP 584,500 FOR EARLY SETTLEMENT. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE DISCIPLINARY NOTICE.
Allegations: THE CHICAGO BOARD OF TRADE ("CBOT") BUSINESS CONDUCT COMMITTEE ("COMMITTEE") FOUND THAT CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") (1) SUBMITTED INACCURATE LARGE TRADER POSITION REPORTS TO THE EXCHANGE, FAILED TO PROVIDE THE EXCHANGE WITH LARGE TRADER CORRECTIONS; AND FAILED TO SUBMIT POSITION CHANGE DATA TO THE CLEARING HOUSE IN A TIMELY MANNER IN VIOLATION OF CBOT RULES 561 AND 811; AND (2) SUBMITTED ADJUSTMENTS TO RE-OPEN POSITIONS IN CERTAIN FUTURES AND OPTIONS IN VIOLATION OF CBOT RULE 854.C. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A SETTLEMENT UNDER WHICH IT PAID A $30,000 FINE. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE DISCIPLINARY NOTICE. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A SETTLEMENT UNDER WHICH IT PAID A $30,000 FINE. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE DISCIPLINARY NOTICE.
Allegations: THE CHICAGO MERCANTILE EXCHANGE INC. ("CME") BUSINESS CONDUCT COMMITTEE ("COMMITTEE") FOUND THAT CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") (1) SUBMITTED INACCURATE LARGE TRADER POSITION REPORTS TO THE EXCHANGE, FAILED TO PROVIDE THE EXCHANGE WITH LARGE TRADER CORRECTIONS; AND FAILED TO SUBMIT POSITION CHANGE DATA TO THE CLEARING HOUSE IN A TIMELY MANNER IN VIOLATION OF CME RULES 561 AND 811; AND (2) SUBMITTED ADJUSTMENTS TO RE-OPEN POSITIONS IN CERTAIN FUTURES AND OPTIONS IN VIOLATION OF CME RULE 854.C.. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A SETTLEMENT UNDER WHICH IT PAID A $30,000 FINE. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE DISCIPLINARY NOTICE. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A SETTLEMENT UNDER WHICH IT PAID A $30,000 FINE. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE DISCIPLINARY NOTICE.
Allegations: THE COMMODITY EXCHANGE ("COMEX") BUSINESS CONDUCT COMMITTEE ("COMMITTEE") FOUND THAT CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") (1) SUBMITTED INACCURATE LARGE TRADER POSITION REPORTS TO THE EXCHANGE, FAILED TO PROVIDE THE EXCHANGE WITH LARGE TRADER CORRECTIONS; AND FAILED TO SUBMIT POSITION CHANGE DATA TO THE CLEARING HOUSE IN A TIMELY MANNER IN VIOLATION OF COMEX RULES 561 AND 811; (2) SUBMITTED AN OPEN INTEREST ADJUSTMENT REPRESENTING A DECREASE GREATER THAN TWO PERCENT OF OPEN INTEREST IN VIOLATION OF COMEX RULE 854.B; AND (3) SUBMITTED ADJUSTMENTS TO RE-OPEN POSITIONS IN CERTAIN FUTURES IN VIOLATION OF COMEX RULE 854.C. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A SETTLEMENT UNDER WHICH IT PAID A $35,000 FINE. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE DISCIPLINARY NOTICE. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A SETTLEMENT UNDER WHICH IT PAID A $35,000 FINE. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE DISCIPLINARY NOTICE.
Allegations: THE NEW YORK MERCANTILE EXCHANGE ("NYMEX") BUSINESS CONDUCT COMMITTEE ("COMMITTEE") FOUND THAT CITIGROUP GLOBAL MARKETS, INC. ("THE FIRM") (1) SUBMITTED INACCURATE LARGE TRADER POSITION REPORTS TO THE EXCHANGE, FAILED TO PROVIDE THE EXCHANGE WITH LARGE TRADER CORRECTIONS; AND FAILED TO SUBMIT POSITION CHANGE DATA TO THE CLEARING HOUSE IN A TIMELY MANNER IN VIOLATION OF NYMEX RULES 561 AND 811; (2) SUBMITTED AN OPEN INTEREST ADJUSTMENT REPRESENTING A DECREASE GREATER THAN TWO PERCENT OF OPEN INTEREST IN VIOLATION OF NYMEX RULE 854.B; AND (3) SUBMITTED ADJUSTMENTS TO RE-OPEN POSITIONS IN CERTAIN FUTURES IN VIOLATION OF NYMEX RULE 854.C Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A SETTLEMENT UNDER WHICH IT PAID A $35,000 FINE. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE DISCIPLINARY NOTICE. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A SETTLEMENT UNDER WHICH IT PAID A $35,000 FINE. THE FINE WAS PAID IN ACCORDANCE WITH THE TERMS OF THE DISCIPLINARY NOTICE.
Allegations: THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") ALLEGED THAT, FROM OCTOBER 2012 THROUGH MARCH 2021, CITIGROUP GLOBAL MARKETS INC. ("THE FIRM") FAILED TO COLLECT INITIAL AND MAINTENANCE MARGIN ON OVER-THE-COUNTER EQUITY OPTION CONTRACTS IT ENTERED WITH TWO AFFILIATED ENTITIES, RESULTING IN VIOLATIONS OF SECTIONS 7(C), 15(C)(3) AND 17(A)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT"), EXCHANGE ACT RULES 15C3-1(C), 17A-3 AND 17A-5, FINRA RULES 4210, 4511 AND 2010 AND SECTION 220.8 OF REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS IN THE AWC, THE FIRM AGREED TO BE CENSURED AND PAY A $1,400,000 FINE. THE FINE WILL BE PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS IN THE AWC, THE FIRM AGREED TO BE CENSURED AND PAY A $1,400,000 FINE. THE FINE WILL BE PAID IN ACCORDANCE WITH THE TERMS OF THE AWC.
Allegations: ALLEGED VIOLATION OF BSEF RULE 516 IN THAT CITIBANK, N.A. FAILED TO NOTIFY AND SEEK APPROVAL FROM BSEF PRIOR TO ENTERING INTO OFFSETTING AND CORRECTIVE TRADES. Status: Final Sanction Detail: FINE OF $1,250 Summary: BSEF IMPOSED A FINE IN THE AMOUNT OF $1,250
Allegations: ALLEGED VIOLATION BSEF RULE 516 IN THAT CITIBANK, N.A. FAILED TO NOTIFY AND RECEIVE APPROVAL FROM BSEF PRIOR TO ENTERING INTO OFFSETTING AND CORRECTING TRADES. Status: Final Sanction Detail: FINE IN THE AMOUNT OF $2,000 Summary: THE FIRM CONSENTED TO A FINE IN THE AMOUNT OF $2,000
Allegations: ALLEGED VIOLATION OF BSEF RULE 516 IN THAT CITIBANK, N.A. FAILED TO NOTIFY AND RECEIVE APPROVAL FROM BSEF PRIOR TO ENTERING INTO OFFSETTING AND CORRECTING TRADES. Status: Final Sanction Detail: FINE IN THE AMOUNT OF $1,750 Summary: THE FIRM CONSENTED TO A FINE IN THE AMOUNT OF $1,750
Allegations: THE BOURSE DE MONTREAL INC. ("BOURSE") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. PROVIDED ACCESS TO CERTAIN OF ITS EMPLOYEES TO THE ELECTRONIC TRADING SYSTEM OF THE BOURSE WITHOUT HAVING OBTAINED THE PRIOR APPROVAL OF THE BOURSE AND DID NOT ESTABLISH AND MAINTAIN A SYSTEM TO SUPERVISE THE ACTIVITIES OF EACH EMPLOYEE THAT IS REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE BOURSE RULES. Status: Final Sanction Detail: CGMI CONSENTED TO A FINE IN THE AMOUNT OF CAD 115,000 (APPROXIMATELY USD 86,347.75) AND COSTS IN THE AMOUNT OF CAD 6085 (APPROXIMATELY USD 4568.92) Summary: CGMI CONSENTED TO A FINE IN THE AMOUNT OF CAD 115,000 (APPROXIMATELY USD 86,347.75) AND COSTS IN THE AMOUNT OF CAD 6085 (APPROXIMATELY USD 4568.92)
Allegations: THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FED") IDENTIFIED SIGNIFICANT ONGOING DEFICIENCIES IN IMPLEMENTATION AND EXECUTION BY CITIGROUP WITH RESPECT TO VARIOUS AREAS OF RISK MANAGEMENT AND INTERNAL CONTROLS, INCLUDING FOR DATA QUALITY MANAGEMENT AND REGULATORY REPORTING, COMPLIANCE RISK MANAGEMENT, CAPITAL PLANNING, AND LIQUIDITY RISK MANAGEMENT. Status: Final Sanction Detail: CITIGROUP AGREED TO CEASE AND DESIST AND AGREE TO CERTAIN AFFIRMATIVE ACTIONS/UNDERTAKINGS. Summary: CITIGROUP AGREED TO TAKE CERTAIN AFFIRMATIVE ACTIONS/UNDERTAKINGS RELATED TO SOURCE OF STRENGTH, BOARD OVERSIGHT, RISK MANAGEMENT AND INTERNAL CONTROLS, DATA QUALITY MANAGEMENT, COMPLIANCE RISK MANAGEMENT, PROGRESS REPORTS, APPROVAL AND IMPLEMENTATION, AND DESIGNATION OF A PRIMARY CONTACT.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE DELAWARE INVESTOR PROTECTION UNIT (THE "UNIT") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN DELAWARE, AND THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN DELAWARE. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE UNIT. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE UNIT A SUM IN THE AMOUNT OF $135,000 WHICH WAS REMITTED ON OR ABOUT MAY 15, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE UNIT ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN DELAWARE THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN DELAWARE, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN DELAWARE CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO 6 DEL. C. § 601(B). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE UNIT A SUM IN THE AMOUNT OF $135,000, OF WHICH $35,000 IS AN ADMINISTRATIVE FINE AND $100,000 IS FOR THE COSTS ASSOCIATED WITH THE UNIT'S INVESTIGATION. FINALLY, THE UNIT AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE RHODE ISLAND DIVISION OF SECURITIES (THE "DIVISION") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN RHODE ISLAND, AND THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN RHODE ISLAND. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT JULY 23, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN RHODE ISLAND THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN RHODE ISLAND, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN RHODE ISLAND CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO SECTION 7-11-602(B)(4) OF THE RHODE ISLAND UNIFORM SECURITIES ACT. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000, RHODE ISLAND'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE ARKANSAS SECURITIES DEPARTMENT (THE "DEPARTMENT") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN ARKANSAS, AND THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN ARKANSAS. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT JULY 6, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN ARKANSAS THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN ARKANSAS, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN ARKANSAS CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO ARK. CODE ANN. § 23-42-308(G). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $35,000, ARKANSAS'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE NEW MEXICO SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN NEW MEXICO, AND THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN NEW MEXICO. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT JULY 23, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN NEW MEXICO THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN NEW MEXICO, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN NEW MEXICO CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO SECTION 58-13C-604.C NMSA 1978. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000, NEW MEXICO'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE IDAHO DEPARTMENT OF FINANCE SECURITIES (THE "DEPARTMENT") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN IDAHO, AND THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN IDAHO. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT JULY 9, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN IDAHO THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN IDAHO, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN IDAHO CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO SECTION 30-14-412(C) OF THE IDAHO UNIFORM SECURITIES ACT. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $35,000, IDAHO'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE MASSACHUSETTS SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN MASSACHUSETTS, AND THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN MASSACHUSETTS. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT JULY 17, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN MASSACHUSETTS THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN MASSACHUSETTS, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN MASSACHUSETTS VIOLATED MASS. GEN. LAWS CH. 110A § 201(A) AND (B) AND 950 MASS. CODE REGS. 12.203(3)(A). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000, MASSACHUSETTS' ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE ALABAMA SECURITIES COMMISSION (THE "COMMISSION") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN ALABAMA, AND THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN ALABAMA. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE COMMISSION. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE COMMISSION A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT JULY 23, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE COMMISSION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN ALABAMA THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN ALABAMA, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN ALABAMA CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO SECTION 8-6-19(J)(1), CODE OF ALABAMA 1975. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE COMMISSION A SUM IN THE AMOUNT OF $35,000, ALABAMA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE COMMISSION AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE SOUTH CAROLINA SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN SOUTH CAROLINA, AND THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN SOUTH CAROLINA. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT JULY 6, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN SOUTH CAROLINA THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN SOUTH CAROLINA, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN SOUTH CAROLINA CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO S.C. CODE ANN. § 35-1-604(D). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000, SOUTH CAROLINA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE OREGON DIVISION OF FINANCE AND CORPORATE SECURITIES (THE "DIVISION") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN OREGON, THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN OREGON. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ORDER ASSESSING CIVIL PENALTY AND CONSENT TO ENTRY OF ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 3, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN OREGON THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN OREGON, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN OREGON CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO OREGON REVISED STATUTES 59.995(1). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000, OREGON'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE SOUTH DAKOTA DIVISION OF SECURITIES (THE "DIVISION") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN SOUTH DAKOTA, THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN SOUTH DAKOTA. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 15, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN SOUTH DAKOTA THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN SOUTH DAKOTA, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN SOUTH DAKOTA CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO SDCL 47-31B-604(D). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000, SOUTH DAKOTA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE INDIANA SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN INDIANA, AND THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN INDIANA. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT AUGUST 12, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN INDIANA THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN INDIANA, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN INDIANA CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO IND. CODE § 23-19-4-12(C) AND (D)(9). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000, INDIANA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE SECURITIES DIVISION OF THE WASHINGTON STATE DEPARTMENT OF FINANCIAL INSTITUTIONS (THE "DIVISION") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN WASHINGTON, AND THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN WASHINGTON. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT AUGUST 26, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN WASHINGTON THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN WASHINGTON, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN WASHINGTON CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO RCW 21.20.110(1)(J). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000, WASHINGTON'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE UTAH DIVISION OF SECURITIES (THE "DIVISION") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN UTAH, AND THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN UTAH. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE STIPULATION AND CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 4, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN UTAH THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN UTAH, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN UTAH CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO SECTION 61-1-6(1)(A)(IV) OF THE UTAH UNIFORM SECURITIES ACT. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000, UTAH'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE MISSOURI SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN MISSOURI AND THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS TO ENSURE THAT THESE PERSONS WERE REGISTERED IN MISSOURI. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 9, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN MISSOURI THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN MISSOURI AND THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS TO ENSURE THAT THESE PERSONS WERE REGISTERED IN MISSOURI CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO SECTIONS 409.4-412(C) AND 409.6-604, RSMO. (CUM. SUPP. 2013). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000, MISSOURI'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE MAINE OFFICE OF SECURITIES OFFICE (THE "OFFICE") ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN MAINE, THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN MAINE. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (THE "ORDER"), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE OFFICE. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE OFFICE A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT FEBRUARY 2, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE OFFICE ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN MAINE THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN MAINE, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN MAINE CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO 32 M.R.S. § 16412(3) (2014). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE OFFICE A SUM IN THE AMOUNT OF $35,000, MAINE'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE OFFICE AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE HAWAII DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS (DEPARTMENT) ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. (CGMI) ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN HAWAII, THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN HAWAII. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER (THE ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT JULY 14, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN HAWAII THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN HAWAII, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN HAWAII CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO HRS §§ 485-18.7 AND 485A-412(C) AND (D)(9). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $35,000, HAWAII'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE LOUISIANA OFFICE OF FINANCIAL INSTITUTIONS (OFI) ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. (CGMI) ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN LOUISIANA, THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN LOUISIANA. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (THE ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE OFI. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE OFI A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT AUGUST 3, 2016. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE OFI ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN LOUISIANA THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN LOUISIANA, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN LOUISIANA CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE PURSUANT TO LSA-R.S. 51:710.1. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE OFI A SUM IN THE AMOUNT OF $35,000, LOUISIANA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE OFI AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. (NASAA), THE NORTH CAROLINA SECURITIES DIVISION (DIVISION) ALLEGED THAT CITIGROUP GLOBAL MARKETS INC. (CGMI) ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE HIGHLY LIKELY NOT REGISTERED IN NORTH CAROLINA, THAT CGMI FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN NORTH CAROLINA. THE ALLEGED CONDUCT CONSTITUTED BASES FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE AGAINST THE FIRM. Status: Final Sanction Detail: CGMI NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ADMINISTRATIVE CONSENT ORDER (THE ORDER), AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION. CGMI ALSO AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000 WHICH WAS REMITTED ON OR ABOUT JULY 7, 2017. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2007 THROUGH SEPTEMBER 30, 2014 REACHED BY CGMI WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL JURISDICTIONS MAY ENTER CONSENT ORDERS, IN WHICH CGMI NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN NORTH CAROLINA THROUGH SALES ASSISTANTS THAT WERE HIGHLY LIKELY NOT REGISTERED IN NORTH CAROLINA, THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND THE FAILURE TO ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN NORTH CAROLINA CONSTITUTED BASES FOR THE ASSESSMENT OF A CIVIL PENALTY AND INVESTIGATIVE COSTS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CGMI AGREED TO (1) CERTAIN UNDERTAKINGS, AND (2) TO PAY THE DIVISION A SUM IN THE AMOUNT OF $35,000, $25,000 FOR THE CIVIL PENALTY AND $10,000 FOR THE COSTS OF INVESTIGATION. FINALLY, THE DIVISION AND CGMI AGREED THAT THE ORDER WOULD NOT SUBJECT CGMI TO ANY DISQUALIFICATIONS UNDER THE LAWS OF THE UNITED STATES, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, INCLUDING WITHOUT LIMITATION, ANY DISQUALIFICATION FROM RELYING UPON THE STATE OR FEDERAL REGISTRATION EXEMPTIONS OR SAFE HARBOR PROVISIONS, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: ALLEGED VIOLATION OF RULES 3.1.7(1), 3.1.10 AND 3.1.11 OF SUBSECTION 798H(1) OF THE CORPORATIONS ACT 2001 IN THAT THE SYDNEY SALES DESK DISCLOSED TO THE SYDNEY RATES TRADER INFORMATION ABOUT THE BUY ORDER 4 BEFORE THAT ORDER HAD BEEN SUBMITTED TO THE TRADING PLATFORM OF THE ASX 24 MARKET, THE FIRM, THROUGH THE SYDNEY SALES DESK, HAD ARRANGED THE DETAILS OF A POTENTIAL TRADE BETWEEN THE CHICAGO SALES DESK AND THE SYDNEY RATES TRADER WHICH RESULTED IN A TRADE OF 200 BBZ6 AT 97.14 ARISING FROM THE MATCHING OF SELL ORDER 2 AND BUY ORDER 4, AND THE FIRM, THROUGH THE SYDNEY SALES DESK, IN EXECUTING THE TRADE OF 200 BBZ6 AT 97.14 ARISING FROM THE MATCHING OF SELL ORDER 2 AND BUY ORDER 4, INTENDED TO EXCLUDE OTHER MARKET PARTICIPANTS ON 17 JULY 2015. Status: Final Sanction Detail: PENALTY IN THE AMOUNT OF $50,000 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A PENALTY IN THE AMOUNT OF $50,000.
Allegations: THE SFC ALLEGED THAT CITIGROUP GLOBAL MARKETS ASIA LIMITED (CGMAL) ALLOWED VARIOUS TRADING DESKS UNDER ITS CASH EQUITIES BUSINESS TO DISSEMINATE MISLABELED INDICATIONS OF INTEREST AND MAKE MISREPRESENTATIONS/NON-DISCLOSURE TO INSTITUTIONAL CLIENTS WHEN EXECUTING FACILITATION TRADES. THE SFC ALSO ALLEGED THAT CGMAL INCURRED SERIOUS AND SYSTEMIC LAPSES ACROSS ITS CONTROLS FRAMEWORK AND ITS FIRST AND SECOND LINES OF DEFENCE. Status: Final Sanction Detail: THE SFC REPRIMANDED THE FIRM AND FINED IT HK348.25 MILLION, WHICH IS APPROXIMATELY USD44,601,423. Summary: THE SFC REPRIMANDED THE FIRM AND FINED IT HK348.25 MILLION, WHICH IS APPROXIMATELY USD44,601,423.
Allegations: ALLEGED VIOLATION OF THE CODE OF VIRGINIA 21 VAC 5-20-260 B, 21 VAC 5-20-260 D, 21 VAC 5-20-260 D 2(1), 21 VAC 5-20-280 A(12)(A), 21 VAC 5-20-280 A(3), AND 21 VAC 5-20-280 A(24) IN THAT CITIGROUP GLOBAL MARKETS INC. ALLOWED ITS AGENT TO RECOMMEND A MARGIN LOAN WHICH WAS UNSUITABLE AND FAILED TO ENSURE THE AGENT MONITORED THE ACCOUNT ACTIVITY, FAILED TO ENFORCE ITS OWN WRITTEN SUPERVISORY PRECEDURES, FAILED TO MONITOR AND CONDUCT FREQUENT EXAMINATIONS OF THE COMPLAINANT'S ACCOUNT ACTIVITY, CHARGED THE COMPLAINANT COMPOUNDED MARGIN INTEREST ON THE MONTHLY ACH WITHDRAWALS FROM HIS ACCOUNT AND CHARGED A HIGHER MARGIN INTEREST RATE THAN WAS ORIGINALLY OFFERED, ALLOWED THE COMPLAINANT TO WITHDRAW A MARGIN LOAN AGAINST THE SECURITIES IN HIS BROKERAGE ACCOUNT, AND MARKETED SERVICES TO THE COMPLAINANT THAT WERE CONFUSING. Status: Final Sanction Detail: REIMBURSEMENT OF $8,000 IN MARGIN ACCOUNT INTEREST CHARGES, $1,500 FOR COSTS OF INVESTIGATION, AND DEFENDANT WILL NOT VIOLATE THE ACT OR RULES IN THE FUTURE Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO REIMBURSE THE COMPLAINANT $8,000 IN MARGIN ACCOUNT INTEREST CHARGES, PAY $1,500 TO DEFRAY THE COSTS OF INVESTIGATION, AND TO NOT VIOLATE THE ACT OR RULES IN THE FUTURE.
Allegations: ON NOVEMBER 11, 2014, CITIBANK, N.A. CONSENTED TO THE ISSUANCE OF A CEASE AND DESIST ORDER AND AN ORDER FOR A CIVIL MONEY PENALTY BY THE OFFICE OF THE COMPTROLLER OF THE CURRENCY. CITIBANK, N.A. AGREED TO PAY A PENALTY OF $350,000,000 AND TO FURTHER ENHANCE THE CONTROL FRAMEWORK GOVERNING CITIBANK, N.A.'S FOREIGN EXCHANGE ("FX") BUSINESS. THE ORDERS ALLEGE THAT CERTAIN OF CITIBANK, N.A.'S FX TRADERS DISCUSSED ENGAGING IN POTENTIAL MISCONDUCT WITH TRADERS FROM OTHER BANKS OR MARKET PARTICIPANTS, INCLUDING DISCUSSIONS OF COORDINATING TRADING STRATEGIES IN AN ATTEMPT TO MANIPULATE CERTAIN FX BENCHMARK RATES AND DISCUSSIONS OF TRADING TO BENEFIT THE TRADER OR BANK AND TO THE POTENTIAL DETRIMENT TO THE BANK'S CUSTOMERS. THE ORDERS STATE THAT CITIBANK, N.A. HAD DEFICIENCIES IN ITS INTERNAL CONTROLS AND ENGAGED IN UNSAFE OR UNSOUND BANKING PRACTICES WITH RESPECT TO THE OVERSIGHT AND GOVERNANCE OF ITS FX TRADING SUCH THAT IT FAILED TO DETECT AND PREVENT THE CONDUCT. Status: Final Sanction Detail: CIVIL MONEY PENALTY OF $350 MILLION LEVIED AGAINST CONTROL AFFILIATE (CITIBANK, N.A.). NO LEVY AGAINST APPLICANT. PENALTY PAID BY CONTROL AFFILIATE ON 11/17/2014. Summary: ON NOVEMBER 11, 2014, CITIBANK, N.A. CONSENTED, WITHOUT ADMITTING OR DENYING ANY WRONGDOING, TO THE ISSUANCE OF A CEASE AND DESIST ORDER AND TO AN ORDER FOR A CIVIL MONEY PENALTY WITH THE OFFICE OF THE COMPTROLLER OF THE CURRENCY. THE ORDERS REQUIRE CITIBANK, N.A. TO PAY A CIVIL MONEY PENALTY OF $350,000,000 AND TO TAKE SPECIFIC STEPS TO IMPROVE ITS INTERNAL CONTROLS, INCLUDING TO SUBMIT WITHIN 120 DAYS AN ACTION PLAN DESCRIBING THE STEPS NECESSARY AND APPROPRIATE TO ACHIEVE COMPLIANCE WITH THE CEASE AND DESIST ORDER.
Allegations: ON NOVEMBER 11, 2014, THE FINANCIAL CONDUCT AUTHORITY ("FCA") ANNOUNCED RESOLUTION OF ITS INVESTIGATION INTO CITIBANK, N.A.'S FOREIGN EXCHANGE ("FX") BUSINESS. CITIBANK, N.A. AGREED TO SETTLE AT AN EARLY STAGE OF THE INVESTIGATION, THEREBY QUALIFYING FOR A 30% (STAGE 1) DISCOUNT UNDER THE FCA'S EXECUTIVE SETTLEMENT PROCEDURES. CITIBANK, N.A. AGREED TO PAY A PENALTY OF £225,575,000. THE FCA ISSUED A FINAL NOTICE WITH ALLEGATIONS THAT DURING THE TIME PERIOD JANUARY 1, 2008 TO OCTOBER 15, 2013, CITIBANK, N.A.'S INSUFFICIENT CONTROLS LED TO ATTEMPTS TO MANIPULATE THE WMR AND ECB FIX RATES, ATTEMPTS TO TRIGGER CLIENTS' STOP LOSS ORDERS, AND INAPPROPRIATE SHARING OF CONFIDENTIAL INFORMATION WITH TRADERS AT OTHER FIRMS. Status: Final Sanction Detail: PENALTY OF £225,575,000 LEVIED AGAINST CONTROL AFFILIATE (CITIBANK, N.A.). NO LEVY AGAINST APPLICANT. PENALTY PAID ON 11/14/2014. Summary: ON NOVEMBER 11, 2014, THE FCA ANNOUNCED RESOLUTION OF ITS INVESTIGATION INTO CITIBANK, N.A.'S FX BUSINESS. CITIBANK, N.A., WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS OF THE INVESTIGATION, AGREED TO PAY A PENALTY OF £225,575,000.
Allegations: ON MAY 20, 2015, CITIGROUP INC. ("CITIGROUP") CONSENTED TO THE ISSUANCE OF AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY (THE "ORDER") BY THE U.S. BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB"). CITIGROUP AGREED TO PAY A PENALTY OF $342 MILLION AND TO FURTHER ENHANCE THE CONTROL FRAMEWORK GOVERNING CITIGROUP'S FOREIGN EXCHANGE ("FX") TRADING AND RELATED SALES ACTIVITIES AND CERTAIN OTHER COMMODITIES AND INTEREST RATE MARKET ACTIVITIES. THE ORDER ALLEGES THAT CITIGROUP LACKED ADEQUATE FIRM-WIDE GOVERNANCE, RISK MANAGEMENT, COMPLIANCE AND AUDIT POLICIES AND PROCEDURES RELATING TO ITS FX ACTIVITIES. THE ORDER FURTHER ALLEGES THAT CITIGROUP'S DEFICIENT POLICIES AND PROCEDURES PREVENTED IT FROM DETECTING AND ADDRESSING UNSAFE AND UNSOUND CONDUCT BY ITS FX TRADERS, INCLUDING AGREEMENTS WITH EXTERNAL TRADERS TO COORDINATE TRADING IN A MANNER DESIGNED TO INFLUENCE CERTAIN FX BENCHMARK FIXES AND MARKET PRICES AND TRADING STRATEGIES THAT RAISED POTENTIAL CONFLICTS OF INTEREST. Status: Final Sanction Detail: CIVIL MONEY PENALTY OF $342 MILLION LEVIED AGAINST CONTROL AFFILIATE (CITIGROUP INC.). NO LEVY AGAINST APPLICANT. PENALTY PAID BY CONTROL AFFILIATE ON MAY 20, 2015. Summary: ON MAY 20, 2015, CITIGROUP CONSENTED TO THE ISSUANCE OF AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY BY THE FRB. THE ORDER REQUIRES CITIGROUP TO PAY A CIVIL MONEY PENALTY OF $342 MILLION AND TO TAKE SPECIFIC STEPS TO IMPROVE ITS OVERSIGHT, INTERNAL CONTROLS, COMPLIANCE, RISK MANAGEMENT AND AUDIT PROGRAMS, INCLUDING TO SUBMIT WITHIN 90 DAYS OF THE ORDER, WRITTEN PLANS AND PROGRAMS RELATING TO REMEDIATION.
Allegations: THE DOJ AND STATE AGS ALLEGED THAT CITI MISREPRESENTED THE QUALITY AND CHARACTERISTICS OF THE MORTGAGE LOANS IT SECURITIZED AND SOLD TO INVESTORS, INCLUDING THAT THE LOANS WERE ORIGINATED IN ACCORDANCE WITH UNDERWRITING GUIDELINES AND IN COMPLIANCE WITH FEDERAL, STATE AND LOCAL LAWS AND REGULATIONS. THE FDIC HAD ASSERTED, IN SEVERAL LITIGATIONS COMMENCED AGAINST CITIGROUP AS ISSUER AND UNDERWRITER OF RMBS, SIMILAR CLAIMS OF MISREPRESENTATIONS RELATING TO THE QUALITY OF THE LOAN COLLATERAL IN THE RMBS AT ISSUE. Status: Final Sanction Detail: UNDER THE TERMS OF THE SETTLEMENT, CITIGROUP WILL PAY A TOTAL OF $4.5 BILLION IN CASH AND PROVIDE $2.5 BILLION IN CONSUMER RELIEF. THE CASH PORTION OF THE SETTLEMENT CONSISTS OF A $4 BILLION CIVIL MONETARY PENALTY PAYMENT TO THE DOJ PURSUANT TO THE FINANCIAL INSTITUTIONS REFORM, RECOVERY AND ENFORCEMENT ACT OF 1989 ("FIRREA"), $208,250,000 TO THE FDIC AND $291,750,000 TO VARIOUS STATE AGS. Summary: ON JULY 11, 2014, CITIGROUP ENTERED INTO A SETTLEMENT WITH THE UNITED STATES DEPARTMENT OF JUSTICE (THE "DOJ"), SEVERAL STATE ATTORNEYS GENERAL (THE "STATE AGS") AND THE FEDERAL DEPOSIT INSURANCE CORPORATION (THE "FDIC") RELATING TO RESIDENTIAL MORTGAGE-BACKED SECURITIES ("RMBS") AND COLLATERALIZED DEBT OBLIGATIONS ("CDOS") ISSUED, STRUCTURED OR UNDERWRITTEN BY CITI BETWEEN 2003 AND 2008. UNDER THE TERMS OF THE SETTLEMENT, CITIGROUP WILL PAY A TOTAL OF $4.5 BILLION IN CASH AND PROVIDE $2.5 BILLION IN CONSUMER RELIEF. THE CASH PORTION OF THE SETTLEMENT CONSISTS OF A $4 BILLION CIVIL MONETARY PENALTY PAYMENT TO THE DOJ PURSUANT TO THE FINANCIAL INSTITUTIONS REFORM, RECOVERY AND ENFORCEMENT ACT OF 1989 ("FIRREA"), $208,250,000 TO THE FDIC AND $291,750,000 TO VARIOUS STATE AGS. THE SETTLEMENT RELEASES CIVIL CLAIMS THAT COULD HAVE BEEN ASSERTED UNDER COMMON LAW, FIRREA, THE FALSE CLAIMS ACT, THE PROGRAM FRAUD CIVIL REMEDIES ACT, THE RACKETEER INFLUENCED AND CORRUPT ORGANIZATIONS ACT, THE INJUNCTIONS AGAINST FRAUD ACT, AND VARIOUS STATE STATUTES, INCLUDING STATE SECURITIES LAWS.
Allegations: THE CFTC ENTERED INTO A SETTLEMENT ORDER WITH CITIGROUP GLOBAL MARKETS, INC., CITIBANK N.A. AND CITIGROUP ENERGY INC. (COLLECTIVELY, "CITI") SETTLING AN ADMINISTRATIVE ACTION. THE ORDER FOUND THAT CITI DID NOT MAINTAIN ADEQUATE INTERNAL CONTROLS WITH RESPECT TO ITS PRESERVATION OF AUDIO AND THEREFORE FAILED TO DILIGENTLY SUPERVISE MATTERS RELATED TO ITS BUSINESS AS A CFTC REGISTRANT. THE CFTC FOUND THAT CITI (A) FAILED TO ADEQUATELY STAFF THE GLOBAL VOICE OPERATIONS ("GVO") GROUP, INCLUDING BY FAILING TO EMPLOY INDIVIDUALS WITH ADEQUATE TECHNICAL KNOWLEDGE; (B) GVO MANAGEMENT DID NOT TAKE TIMELY AND APPROPRIATE STEPS TO MITIGATE THE RISK POSED BY THE AUDIO PRESERVATION SYSTEM'S DESIGN FLAW AFTER BEING ON NOTICE OF THE PROBLEM; (C) DID NOT HAVE ADEQUATE PROCEDURES IN PLACE TO DOCUMENT, UNDERSTAND, AND TEST CHANGES TO THE AUDIO PRESERVATION SYSTEM; AND (D) DID NOT HAVE ADEQUATE PROCEDURES IN PLACE TO ENSURE THAT CITI PERSONNEL - INCLUDING LEGAL AND COMPLIANCE PERSONNEL WHO RELIED ON THE AUDIO PRESERVATION SYSTEM IN RESPONDING TO REGULATORY REQUESTS - WERE APPRISED OF IMPORTANT RISKS TO THE INTEGRITY OF THE INFORMATION CONTAINED ON THE AUDIO PRESERVATION SYSTEM THAT WERE KNOWN TO THE GVO GROUP. THE ORDER FOUND THAT CITI VIOLATED CFTC REGULATION 166.3, 17 C.F.R. S. 166.3 (2019). Status: Final Sanction Detail: THE CIVIL PENALTY WAS PAID ON OR AROUND 10/07/2020. Summary: CITI CONSENTED, WITHOUT ADMITTING OR DENYING ANY OF THE FINDINGS OR CONCLUSIONS, TO CEASE AND DESIST FROM VIOLATING CFTC REGULATION 166.3; TO PAY A CIVIL PENALTY OF $4,500,000; AND TO COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE ORDER.
Allegations: VIOLATION OF SECTION 17(A) OF THE EXCHANGE ACT AND RULES 17A-4(J) AND 17A-25 THEREUNDER IN THAT CITIGROUP GLOBAL MARKETS INC. ("CGMI") FAILED TO FURNISH TO THE COMMISSION TRUE AND COMPLETE TRADE DATA IN RESPONSE TO COMMISSION STAFF'S ELECTRONIC BLUE SHEET ("EBS") REQUESTS BETWEEN MAY 1999 AND APRIL 2014 DUE TO AN ERROR IN THE COMPUTER CODE FOR CGMI'S EBS RESPONSE SOFTWARE. Status: Final Sanction Detail: CEASE AND DESIST, CENSURE, CIVIL MONEY PENALTY IN THE AMOUNT OF $7,000,000 Summary: THE FIRM WAS ORDERED TO CEASE AND DESIST, CENSURED, AND ORDERED TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $7,000,000
Allegations: ALLEGED VIOLATION OF SECTION 17(A)(2) OF THE SECURITIES ACT IN THAT CITIGROUP GLOBAL MARKETS INC. MADE MATERIAL MISSTATEMENTS AND OMISSIONS TO CERTAIN INSTITUTIONAL USERS IN CONNECTION WITH A DARK POOL CALLED CITI MATCH CONCERNING THE TYPES OF MARKET PARTICIPANTS THAT WERE ALLOWED TO PLACE ORDERS IN CITI MATCH AND CITI MATCH'S PRACTICE OF ROUTING ORDER TO OTHER TRADING VENUES FOR EXECUTION FROM AT LEAST DECEMBER 2011 THROUGH JUNE 2014. Status: Final Sanction Detail: CEASE AND DESIST, CENSURE, DISGORGEMENT OF $4,718,784.59 AND PREJUDGMENT INTEREST OF $718,690.47, AND A CIVIL MONEY PENALTY IN THE AMOUNT OF $6,500,000. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO CEASE AND DESIST, CENSURE, DISGORGEMENT OF $4,718,784.59 AND PREJUDGMENT INTEREST OF $718,690.47, AND A CIVIL MONEY PENALTY IN THE AMOUNT OF $6,500,000.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ALLEGED, IN CONNECTION WITH THE BROKER-DEALER OFF-CHANNEL COMMUNICATIONS INITIATIVE, THAT CITIGROUP GLOBAL MARKETS INC. (CGMI) FAILED TO (1) MAINTAIN AND PRESERVE PERSONAL TEXT MESSAGES AND MESSAGES SENT ON OTHER TEXT MESSAGING PLATFORMS RELATED TO THE BUSINESS OF THE BROKER-DEALER OPERATED BY CGMI, IN WILLFUL VIOLATION OF SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 17A-4(B)(4) THEREUNDER; AND (2) REASONABLY SUPERVISE ITS EMPLOYEES WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF ITS EMPLOYEES' AIDING AND ABETTING VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER, WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT. Status: Final Sanction Detail: CGMI ADMITTED TO THE FACTS IN THE SETTLEMENT ORDER, ACKNOWLEDGED ITS CONDUCT VIOLATED THE FEDERAL SECURITIES LAWS AND AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER, (B) BE CENSURED, (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $125,000,000, AND (D) COMPLY WITH CERTAIN UNDERTAKINGS RELATED TO RETENTION OF ELECTRONIC COMMUNICATIONS. Summary: CGMI ADMITTED TO THE FACTS IN THE SETTLEMENT ORDER, ACKNOWLEDGED ITS CONDUCT VIOLATED THE FEDERAL SECURITIES LAWS AND AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER, (B) BE CENSURED, (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $125,000,000, AND (D) COMPLY WITH CERTAIN UNDERTAKINGS RELATED TO RETENTION OF ELECTRONIC COMMUNICATIONS.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ALLEGED THAT FROM AT LEAST 2009 THROUGH MAY 2019, CITIGROUP GLOBAL MARKETS INC. (CGMI) FAILED TO MAKE AND KEEP CURRENT BOOKS AND RECORDS CONCERNING EXPENSES THAT CGMI INCURRED IN CONNECTION WITH ITS UNDERWRITING OF SECURITIES OFFERINGS, IN WILLFUL VIOLATION OF SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 17A-3 THEREUNDER. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, CGMI AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-3 THEREUNDER, (B) BE CENSURED, AND (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $2,900,000. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, CGMI AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-3 THEREUNDER, (B) BE CENSURED, AND (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $2,900,000.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ALLEGED THAT FROM JUNE 30, 2020 TO AT LEAST MARCH 2021, CITIGROUP GLOBAL MARKETS INC. ("CGMI") AND CITI INTERNATIONAL FINANCIAL SERVICES, LLC, NOW KNOWN AS INSIGNEO INTERNATIONAL FINANCIAL SERVICES, LLC ("INSIGNEO"), MADE SECURITIES RECOMMENDATION TO RETAIL CUSTOMERS WITHOUT COMPLYING WITH THE DISCLOSURE REQUIREMENTS UNDER REGULATION BEST INTEREST OR THE REQUIREMENT TO DELIVER THE FORM CLIENT RELATIONSHIP SUMMARY, IN WILLFUL VIOLATION OF SECTION 17(A)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULES 15L-1(A)(1) AND 17A-14(F)(3) THEREUNDER. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, CGMI AND INSIGNEO AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTION 17(A)(1) OF THE EXCHANGE ACT AND RULES 15L-1 AND 17A-14 THEREUNDER, (B) BE CENSURED, AND (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $1,975,000 Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, CITI AND INSIGNEO AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTION 17(A)(1) OF THE EXCHANGE ACT AND RULES 15L-1 AND 17A-14 THEREUNDER, (B) BE CENSURED, AND (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $1,975,000.
Allegations: CITIBANK, N.A. SUBMITTED AN OFFER OF SETTLEMENT, WHICH THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ACCEPTED. THE CFTC ISSUED AN ORDER WHICH CITIBANK, N.A. CONSENTED TO WITHOUT ADMITTING OR DENYING THE ORDER'S FINDINGS. CITIBANK, N.A. AGREED TO PAY A PENALTY OF $310,000,000 AND TO FURTHER ENHANCE THE CONTROL FRAMEWORK GOVERNING ITS FOREIGN EXCHANGE ("FX") BUSINESS. THE ORDER ALLEGES THAT FROM 2009 THROUGH 2012, CERTAIN CITIBANK, N.A. TRADERS ATTEMPTED TO MANIPULATE FOREIGN EXCHANGE BENCHMARK RATES, INCLUDING THE 4PM WM/R BENCHMARK RATES. Status: Final Sanction Detail: CIVIL MONETARY PENALTY OF $310 MILLION LEVIED AGAINST CONTROL AFFILIATE (CITIBANK, N.A.). NO LEVY AGAINST APPLICANT. PENALTY PAID BY CONTROL AFFILIATE ON 11/20/2014. Summary: CITIBANK, N.A., WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS THEREIN, CONSENTED TO AN ORDER BY THE CFTC INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(C)(4)(A) AND 6(D) OF THE COMMODITY EXCHANGE ACT, MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS. THE ORDER REQUIRES CITIBANK, N.A. TO PAY A CIVIL MONETARY PENALTY OF $310,000,000, CEASE AND DESIST FROM VIOLATING SECTIONS 6(C)(3) AND 9(A)(2) OF THE COMMODITY EXCHANGE ACT, AND TO TAKE SPECIFIC STEPS TO IMPROVE ITS INTERNAL CONTROLS.
Allegations: CITIBANK, N.A. SUBMITTED AN OFFER OF SETTLEMENT, WHICH THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ACCEPTED. THE CFTC ISSUED AN ORDER WHICH CITIBANK, N.A. CONSENTED TO WITHOUT ADMITTING OR DENYING THE ORDER'S FINDINGS. CITIBANK, N.A. AGREED TO PAY A PENALTY OF $250,000,000 AND TO IMPLEMENT AND IMPROVE ITS INTERNAL CONTROLS AND PROCEDURES IN A MANNER REASONABLY DESIGNED TO ENSURE THE INTEGRITY OF THE FIXING OF ANY INTEREST-RATE SWAP BENCHMARK. THE ORDER ALLEGES THAT FROM 2007 THROUGH JANUARY 2012, CITIBANK, BY AND THROUGH CERTAIN OF ITS TRADERS, ON MULTIPLE OCCASIONS ATTEMPTED TO MANIPULATE THE U.S. DOLLAR ISDAFIX. Status: Final Sanction Detail: CIVIL MONETARY PENALTY OF $250 MILLION LEVIED AGAINST CONTROL AFFILIATE (CITIBANK N.A.). NO LEVY AGAINST APPLICANT. PENALTY PAID BY CONTROL AFFILIATE ON 6/2/16. Summary: CITIBANK, N.A., WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS THEREIN, CONSENTED TO AN ORDER BY THE CFTC INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(C), 6(D) AND 9(A)(2) OF THE COMMODITY EXCHANGE ACT, 7 U.S.C. SECTIONS 9, 13B, 13(A)(2) (2006), AND FOR CONDUCT OCCURRING ON OR AFTER AUGUST 15, 2011, SECTIONS 6(C)(1), 6(C)(1)(A), 6(C)(3), 6(D) AND 9(A)(2) OF THE COMMODITY EXCHANGE ACT, 7 U.S.C. SECTIONS 9(1), 9(1)(A), 9(3), 13B, 13(A)(2) (2012) AND REGULATIONS 180.1(A) AND 180.2, 17 C.F.R. SECTIONS 180.1(A), 180.2 (2015), MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS. THE ORDER REQUIRES CITIBANK, N.A. TO PAY A CIVIL MONETARY PENALTY OF $250,000,000, CEASE AND DESIST FROM VIOLATING SECTIONS 6(C)(1), 6(C)(1)(A), 6(C)(3), 6(D) AND 9(A)(2) OF THE COMMODITY EXCHANGE ACT, 7 U.S.C. SECTIONS 9(1), 9(1)(A), 9(3), 13B, 13(A)(2) (2012) AND REGULATIONS 180.1(A) AND 180.2, 17 C.F.R. SECTIONS 180.1(A), 180.2 (2015), AND TO IMPLEMENT AND IMPROVE ITS INTERNAL CONTROLS AND PROCEDURES IN A MANNER REASONABLY DESIGNED TO ENSURE THE INTEGRITY OF THE FIXING OF ANY INTEREST-RATE SWAP BENCHMARK.
Allegations: CITIBANK, N.A., CITIBANK JAPAN LTD. AND CITIGROUP GLOBAL MARKETS JAPAN INC. SUBMITTED AN OFFER OF SETTLEMENT, WHICH THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ACCEPTED. THE CFTC ISSUED AN ORDER WHICH THE FIRMS CONSENTED TO WITHOUT ADMITTING OR DENYING THE ORDER'S FINDINGS. THE FIRMS AGREED TO PAY A PENALTY OF $175,000,000 AND TO ENHANCE THE INTEGRITY AND RELIABILITY OF THEIR BENCHMARK INTEREST RATE SUBMISSIONS. THE ORDER ALLEGES THAT CERTAIN OF THE FIRMS' EMPLOYEES: (1) FROM FEBRUARY 2010 THROUGH AUGUST 2010, ON MULTIPLE OCCASIONS, ATTEMPTED TO MANIPULATE THE LONDON INTERBANK OFFERED RATE ("LIBOR") FOR YEN; (2) FROM APRIL 2010 THROUGH JUNE 2010, AT TIMES ATTEMPTED TO MANIPULATE THE EUROYEN TOKYO INTERBANK OFFERED RATE ("EUROYEN TIBOR"), AND, ON A FEW OCCASIONS, FALSELY REPORTED MARKET INFORMATION WITH RESPECT TO EUROYEN TIBOR; AND (3) FROM SPRING 2008 THROUGH SUMMER 2010, AT TIMES FALSELY REPORTED MARKET INFORMATION WITH RESPECT TO U.S. DOLLAR LIBOR. Status: Final Sanction Detail: CIVIL MONETARY PENALTY OF $175 MILLION LEVIED AGAINST CONTROL AFFILIATES (CITIBANK N.A., CITIBANK JAPAN LTD. AND CITIGROUP GLOBAL MARKETS JAPAN INC.). NO LEVY AGAINST APPLICANT. PENALTY PAID BY CONTROL AFFILIATES ON 6/2/16. Summary: CITIBANK N.A., CITIBANK JAPAN LTD. AND CITIGROUP GLOBAL MARKETS JAPAN INC., WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS THEREIN, CONSENTED TO AN ORDER BY THE CFTC INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(C), 6(D) AND 9(A)(2) OF THE COMMODITY EXCHANGE ACT, 7 U.S.C. SECTIONS 9, 13B AND 13(A)(2) (2006), MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS. THE ORDER REQUIRES THE FIRMS TO PAY A CIVIL MONETARY PENALTY OF $175,000,000, CEASE AND DESIST FROM VIOLATING SECTIONS 6(C), 6(D) AND 9(A)(2) OF THE COMMODITY EXCHANGE ACT, 7 U.S.C. SECTIONS 9, 13B AND 13(A)(2) (2012), AND TO ENHANCE THE INTEGRITY AND RELIABILITY OF THEIR BENCHMARK INTEREST RATE SUBMISSION(S), PRESENTLY AND IN THE FUTURE, AND TO IDENTIFY, CONSTRUCT AND PROMOTE EFFECTIVE METHODOLOGIES AND PROCESSES OF SETTING BENCHMARK INTEREST RATES, IN COORDINATION WITH EFFORTS BY BENCHMARK PUBLISHERS.
Allegations: ALLEGED VIOLATION OF SECTION 17(A)(3) OF THE SECURITIES ACT IN THAT CITIBANK, N.A. AT TIMES PRE-RELEASED AMERICAN DEPOSITARY RECEIPTS (ADR) TO PRE-RELEASE BROKERS IN CIRCUMSTANCES WHERE CITIBANK WAS NEGLIGENT WITH RESPECT TO WHETHER THE PRE-RELEASE BROKERS, OR THE PARTIES ON WHOSE BEHALF THE PRE-RELEASED ADR'S WERE BEING OBTAINED, ACTUALLY BENEFICIALLY OWNED THE CORRESPONDING NUMBER OF ORDINARY SHARES, WHICH RESULTED IN THE ISSUANCE OF ADR'S THAT IN MANY INSTANCES, FROM AUGUST 2011 THROUGH NOVEMBER 2016, WERE NOT BACKED BY ORDINARY SHARES AS REQUIRED BY THE ADR FACILITY. Status: Final Sanction Detail: CEASE AND DESIST, DISGORGEMENT OF $20,903,858.25, CIVIL MONEY PENALTY IN THE AMOUNT OF $13,587,507.86 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO CEASE AND DESIST, DISGORGEMENT OF $20,903,858.25, AND A CIVIL MONEY PENALTY IN THE AMOUNT OF $13,587,507.86
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Security ratings or pricing services
- • Other services
Custody
Reported custodians
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 30, 2026.
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