Thomas W. Jones , former CEO of Citigroup Global Investment...

Thomas W. Jones, former CEO of Citigroup Global Investment Management, could face SEC enforcement action related to "the creation and operation of an internal transfer agent unit to serve primarily the Smith Barney family of funds," according to a regulatory filing by Citigroup, which owns Smith Barney. A current employee in the unit and a former employee could also face enforcement action, according to the filing, which did not identify the individuals. Citigroup officials were not available for additional comment.