Articles Tagged with Citigroup Global Markets Inc.

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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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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Rabih Msallem (Msallem), currently employed by Citigroup Global Markets INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Msallem’s most recent customer complaint alleges that Msallem recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $2,000,000.00 on December 16, 2022.

Claimants allege lack of suitability and misrepresentation of sales of structured note investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Rigoli (Rigoli), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Rigoli 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 $11,079.88 on June 13, 2023.

TRUSTEE ALLEGED HE PROVIDED INSTRUCTION TO REGISTERED REPRESENTATIVE ON 4/10/2023 TO SELL FOUR MUTUAL FUNDS IN HIS ACCOUNT AND INTENDED TO IMMEDIATELY REINVEST THE PROCEEDS IN A VARIABLE ANNUITY. TRUSTEE CLAIMED THAT THE REGISTERED REPRESENTATIVE TOLD HIM IT WOULD TAKE “A WEEK OR SO” TO PROCESS. TRUSTEE EXPECTED THE TRANSACTIONS TO OCCUR NO LATER THAN 4/24/2023, BUT ALLEGED THAT THE FUNDS WERE NOT SOLD, AND THE PROCEEDS WERE NOT REINVESTED, FOR NEARLY TWO MONTHS. TRUSTEE CLAIMS LOSSES DUE TO THE DELAY AND DEMANDS COMPENSATION. OCCURRENCE DATES:  4/24/2023 – 6/1/2023. ALLEGED LOSSES:  $11,079.88.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Work (Work), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Work 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 $150,000.00 on June 13, 2023.

Claimant asserts that in March 2021 he sold shares of an equity short with assurance by CGMI through financial advisor, Steven Work, that the margin requirement would be 50% but a margin call several days after the trade was placed was executed at 100% of Claimant’s position, resulting losses in excess of $150,000 after denying time to effect a cash cover to avoid the margin call.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Churchill (Churchill), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Churchill 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 $113,405.00 on June 14, 2023.

Claimant alleges breaches of fiduciary duties related to recommendations regarding mutual funds and an annuity, failure to provide suitable recommendations, negligence, and failure to supervise an employee. (January 2016-March 2023).

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

FINRA BrokerCheck shows a settled customer complaint on August 03, 2023.

Client alleged unauthorized trading pertaining to securities sales on May 9, 2023.

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