Tag: Citigroup
FINRA Fines Citigroup Brokerage Unit $1.25 Million for Lax Background Checks
The Financial Industry Regulatory Authority has fined Citigroup Global Markets Inc., the full-service brokerage affiliate of Citigroup Inc., $1.25 million for failing to conduct...
Hospitality Investors Trust Secures $1 Billion in Loans
Hospitality Investors Trust Inc., a publicly registered non-traded REIT formerly known as American Realty Capital Hospitality Trust, has entered into new mortgage and mezzanine...
FS Investments Interval Fund Announces Leadership Changes
FS Energy Total Return Fund, an interval fund sponsored by FS Investments with a fundraising goal of $2 billion, disclosed that Zachary Klehr has...
FINRA Suspends Former Baird Broker for Borrowing $70,000 from a Client
The Financial Industry Regulatory Authority issued a five-month suspension and $10,000 fine against broker Patrick Jermaine Phillips for borrowing funds from a client and...
