Securities Lawyers Blog
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.