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Citi has been fined and censured for its brokerage unit’s alleged disclosure failures.
Citigroup Global Markets has been censured by FINRA, the financial-industry’s self-regulatory authority, and will pay a $375,000 fine for alleged failures regarding Form U4 filings for its registered representatives. A form U4 is the Uniform Application for Securities Industry Registration or Transfer. Those forms would have disclosed the Citigroup reps’ “unsatisfied tax liens and judgments,”...
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