Finra Bars Citigroup Sales Assistant
August 26, 2009
Total Loss:
$850,000
The Financial Industry Regulatory Authority barred Citigroup Inc. employee Tamara Lanz Moon from the securities industry for allegedly taking more than $850,000 from at least 22 especially vulnerable customers, including her own father. The Redwood, Calif., woman was also accused of falsifying account records, engaging in unauthorized trades and related recordkeeping violations.
Source:
Wall Street Journal
Posted in:
Internal Fraud