CITI INTERNATIONAL FINANCIAL SERVICES LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20070112994-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citi International Financial Services LLC, Respondent Broker-Dealer CRD No. 17053 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citi International Financial Services LLC ("CFSC" or the "firm") submits this Letter of Acceptance, Waiver and Consent
Reference 2007011299401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036434501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citi International Financial Services, LLC, Respondent CRD No. 17053 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Citi International Financial Services, LLC ("CIFS"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2013036434501data-portal.finra.org finra.org

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