Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Fuhrmeister (Fuhrmeister), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Fuhrmeister recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 01, 2022.
CLIENT STATED THAT FROM THE BEGINNING OF HER ACCOUNT RELATIONSHIP, IT WAS AGREED THAT HER PORTFOLIO WOULD BE CONSERVATIVE, AND HER INVESTMENT OBJECTIVE “INCOME.” CLIENT ALLEGED HER PORTFOLIO IS AGGRESSIVE AND IS CLEARLY OUTSIDE HER AGREED UPON PROFILE, AND THIS CAUSED HER UNACCEPTABLE LOSSES. CLIENT DEMANDED COMPENSATION. OCCURRENCE DATES: 5/15/2015 – 5/21/2022. LOSSES: UNSPECIFIED.