Citigroup Global Markets complaint Archives

Rex Securities Law
June 20, 2016
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John M. Gregory-Former Citigroup Broker-Discloses Termination from Employment

John M. Gregory-Former Citigroup Broker-Discloses Termination from Employment http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 20, 2016 June 20, 2016

White Plains, New York According to FINRA records, John M. Gregory , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment . The Financial Industry Regulatory Authority (FINRA) is…

Rex Securities Law
March 27, 2016
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Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of 93 Yr. Old Customer

Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of 93 Yr. Old Customer http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 27, 2016 March 10, 2018

See this for MARCH 2018 UPDATE–Mark Kaplan barred from securities industry for churning account of 93 year customer. APRIL 2017-UPDATE-In FINRA Case 16-0193 a customer of Vanderbilt Securities alleges damages…

Rex Securities Law
August 20, 2015
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Texas Securities Commissioner John Morgan Fines Citigroup Global Markets $35,000

Texas Securities Commissioner John Morgan Fines Citigroup Global Markets $35,000 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 20, 2015 February 11, 2016

August 18, 2015-Austin, Texas John Morgan, Texas Securities Commissioner entered a Consent Order finding that Citigroup Global Markets, Inc. failed to monitor the registration status of sales assistants, some of…