Citigroup Global Markets Inc. Tag Archives

Broker Shawn Martin in Citigroup Global Markets INC. Firm Has Customer Complaint

June 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Martin (Martin), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $126,000.00 on April 21, 2026.

Claimant alleges violations of Regulation BI, unsuitability, common law fraud and/or negligence, violation of FINRA\\u2019s Rules, and failure to supervise.

There are Recent Customer Complaints with Broker Michael Pak in Firm Citigroup Global Markets INC.

June 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Pak (Pak), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Pak 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 $200,000.00 on January 26, 2026.

Claimants allege unsuitability, failure to supervise, breach of fiduciary duty, negligence, and breach of contract in connection with losses suffered in March 2022.

There are Recent Customer Complaints with Broker William Chan in Firm Citigroup Global Markets INC.

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Chan (Chan), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Chan 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 $550,000.00 on March 04, 2026.

Claimant alleges unsuitability; violations of California’s Blue Sky law; negligence; failure to supervise; failure to act in claimant’s best interest; use of manipulative, deceptive, or other fraudulent devices; breach of fiduciary duty; and breach of contract.

Broker Nico Sharp in Citigroup Global Markets INC. Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nico Sharp (Sharp), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Sharp 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 $1,000,000.00 on June 08, 2020.

Claimant alleges that between June 2017 and May 2018, financial advisor Nico Raphael Sharp invested over $1 million on behalf of the Trust in Chronos Capital Partners, LLC, a company Mr. Sharp co-founded, without disclosing his connection to the company. Claimant further alleges unsuitability, fraud, and breach of fiduciary duty against Mr. Sharp, who left the employ of CGMI on April 25, 2018, in connection with investment in Chronos.

There are Recent Customer Complaints with Broker Mark Lohmann in Firm Citi Private Alternatives, LLC / Citigroup Global Markets INC.

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Lohmann (Lohmann), currently associated with Citi Private Alternatives, LLC / Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Lohmann 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 $5,000.00 on October 26, 2020.

Client alleges that they were not advised of the liquidity terms of a notice deposit product. Activity dates 07/20/2020-07/20/2020

Broker Hong Pan in Citigroup Global Markets INC. Firm Has Customer Complaint

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hong Pan (Pan), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Pan 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 $5,000.00 on April 29, 2021.

Customer alleges suitability with managed account investment. Activity Date Feb 4, 2021.

There are Recent Customer Complaints with Broker Christopher Russo in Firm Citigroup Global Markets INC.

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Russo (Russo), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Russo 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 $50,000.00 on December 22, 2025.

The client alleges that a 401K rollover into an IRA was not invested as instructed, including an additional step to effectuate the transaction. Client estimates financial losses of approximately $40,000 – $60,000 as $168,000 of the rollover remained in cash despite the client’s directive for a growth-oriented investment. Occurrence Date 12/22/25; Disputed Amount $50,000.

There are Recent Customer Complaints with Broker Svetlana Arzhelik in Firm Citigroup Global Markets INC.

January 27, 2026 | by Staff Attorney

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

Broker Melissa Roque in Citigroup Global Markets INC. Firm Has Customer Complaint

January 26, 2026 | by Staff Attorney

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.

Broker Xiao Qin Komischke in Citigroup Global Markets INC. Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

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.