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Citigroup Global Markets Fined $500,000

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Citigroup Global Markets was fined $500,000 by the Securities and Exchange Commission in June, 2015 for its violations of the Securities and Exchange Act antifraud provisions, regarding Citigroup’s underwriting of certain municipal securities offerings. Citigroup failed to conduct adequate due diligence in certain offerings, and as a result, failed to form a reasonable basis for believing the truthfulness of certain material representations in those offerings. (See SEC 3-16613).

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