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SEC fines Citigroup for compliance and surveillance failures
www.finextra.com
Aug 18, · including Christine Sibille, Juanita Bishop Hamlett, Richard Hannibal, Mavis Kelly, LaTasha Bond, Peter Ciliberti, and Seon Weems.
SEC fines Citigroup Global Markets $15 million | Financial Industry &...
www.automatedtrader.net
SEC charges Citigroup Global Markets for compliance and surveillance failures.
SEC charges investment adviser with improperly using mutual ...www.ftseglobalmarkets.com › news › sec-charges-investm...
www.ftseglobalmarkets.com
... Katherine Feld, Alicia Goldin, Jacob Krawitz, Lucas Tepper, Will Tong, Ragni Walker, and Seon Weems. The Distribution-in-Guise Initiative is ...
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