Securities Lawyers Blog
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