'FINRA member firms must live up to their responsibility as a gatekeeper protecting investors from bad actors,' a regulatory official said.
Citigroup Global Markets is being fined $1.25 million by FINRA for lax background checks. The firm's failure to properly fingerprint and background non-registered associates led it to hire three convicted criminals. The individuals should've been immediately disqualified, but slipped through the cracks because of the faulty background check process. Read more on Markets Insider. FINRA announced today that it has fined Citigroup Global Markets $1.
Citigroup Global Markets is being fined $1.25 million by FINRA for lax background checks. The firm's failure to properly fingerprint and background non-registered associates led it to hire three convicted criminals. The individuals should've been immediately disqualified, but slipped through the cracks because of the faulty background check process. Read more on Markets Insider. FINRA announced today that it has fined Citigroup Global Markets $1.
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