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FINRA Fines Citi For Failing To Supervise Sales Assistant

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WASHINGTON – The Financial Industry Regulatory Authority (FINRA) has announced that it has fined Citigroup Global Markets, Inc. $500,000 for failing to supervise Tamara Moon, a former registered sales assistant at the firm's branch office in Palo Alto, California. Over an 8 year period, Moon misappropriated $749,978 from 22 customers, falsified account records and engaged in unauthorized trades in customer accounts.

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