Securities Lawyers Blog
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