Stockbroker Misconduct and Investment Fraud Blog

Citigroup Investment Loss from Analyst Fraud

FINRA Fines Citigroup $15 Million FINRA has fined Citigroup Inc. $15 million for failing to properly supervise research analysts. According to FINRA, Citigroup analysts provided select clients with non-public opinions about stocks at “idea...

Regulators Team Up to Fight Investment Fraud

Regulators from the Commodity Futures Trading Commission, FINRA, and the SEC have teamed up to created CFTC Smart Check, a website that will provide investors with a wealth of information about investment fraud and the background of financial...