Articles Tagged with Citigroup Global Markets Inc.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Svetlana Arzhelik (Arzhelik), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Arzhelik recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on August 16, 2021.

Plaintiff alleges negligence breach of fiduciary duty unauthorized trading, elder abuse and failure to supervise beginning in 2017

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melissa Roque (Roque), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Roque recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $60,399.00 on August 25, 2021.

Customer alleges suitability and poor performance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Xiao Qin Komischke (Komischke), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Komischke recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $60,000.00 on September 23, 2021.

CLAIMANT ALLEGES THAT FA RECOMMENDED AN UNSUITABLE INVESTMENT IN AN OFFSHORE FIXED ANNUITY WHOSE ISSUER IS NO LONGER SOLVENT AND IS UNDER LIQUIDATION ORDER AND THAT THE FA MISREPRESENTED THAT THE INVESTMENT WAS A CD.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elijah Goble (Goble), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Goble recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $276,189.47 on October 16, 2025.

Alledged improper handling of account from March 2025 to May 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yu Chin Chen (Chen), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Chen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 09, 2022.

Claimant alleges unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Slechta (Slechta), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Slechta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $7,530,287.37 on March 14, 2022.

Joseph Slechta was a subject of the customer’s complaint against his member firm and other named respondents that asserted the following causes of action: breach of Illinois common law fiduciary duty, failure to supervise, and violation of FINRA Rules.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yanique Anderson (Anderson), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 20, 2022.

Customer alleged the product was misrepresented to them as it having a liquidity feature. Upon review, it was determined the liquidity feature was selected but was not offered with the product. Not Securities Related

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elijah Goble (Goble), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Goble recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 28, 2022.

CLIENT COMPLAINED ABOUT COUPON BARRIER NOTE, ALLEGED THAT HE WANTED HIS FUNDS INVESTED CONSERVATIVELY AND BELIEVED THE MOST HE COULD LOSE WAS 30%, BUT REGISTERED REPRESENTATIVE SOLD HIM SOMETHING THAT WAS “EXTREMELY HIGH RISK,” AND HIS $40K INVESTMENT AT ONE POINT DROPPED TO $7K. OCCURRENCE DATES:  7/26/2021-4/28/2022. SETTLEMENT AMOUNT:  $20,236

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Crowley (Crowley), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Crowley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000,000.00 on July 05, 2022.

Allegations are the CBNA knew of client’s fraudulent conduct but did not timely exit the client.

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