Citigroup Global Markets Inc. Tag Archives

There are Recent Customer Complaints with Broker Brian Sodol in Firm Citigroup Global Markets INC.

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Sodol (Sodol), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Sodol 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 $1,600,000.00 on June 21, 2024.

Claimant alleges that his financial advisor, Brian Sodol, failed to timely execute the sale of $1.6 million-worth of subscription rights in a certain company’s stock before the rights expired. Customer alleges the failure amounted to breach of fiduciary duty, negligence, and negligent supervision by Citigroup Global Markets Inc. Claimant also seeks to hold Mr. Sodol personally liable for negligence. Claimant seeks $1.6 million in compensation, plus interest, costs, disgorgement of commissions and punitive damages.

There are Recent Customer Complaints with Broker Ralph Ganchero in Firm Citigroup Global Markets Inc.

March 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Ganchero (Ganchero), currently associated with Citigroup Global Markets Inc., has at least one disclosable event. These events include one customer complaint, alleging that Ganchero 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 $100,000.00 on December 31, 2024.

Recommended client to liquidate and transfer funds from an IRA to Citi and alleges that the investments underperformed market.

There are Recent Customer Complaints with Broker Joao Bastos in Firm Citigroup Global Markets Inc.

February 11, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Joao Bastos (Bastos), currently employed by Citigroup Global Markets Inc. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Bastos’s most recent customer complaint alleges that Bastos recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $885,000.00 on May 08, 2023.

Claimant alleges breaches of fiduciary duty related to recommendations regarding structured products, negligence, fraud, breach of contract, third-party beneficiary breach of contract, violations of federal and state securities statutes, violation of Reg BI and negligent supervision. (March 2020-August 2021)