California Securities Fraud Attorney Call Today 800-699-1881
California Securities Fraud Lawyer Firm Overview Attorney Profiles Recoveries Obtained Frequently Asked Questions Testimonials Contact Us
information center
Attorney Advertising Disclaimer
Securities
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Products
Frequently Asked Questions
Attorney Referrals
Video Center
securities fraud blog

Categories

legal blog Click here for a free case evaluation. Read our Articles on Securities Related Issues here. have a question resources
contact us
Name:
Email:
Phone:
Are you a new client?
Message:
10 Avvo avvo badge
If you need help recovering your losses contact us today. View our complete list of brokerage firms and banks we've sued.

Recent Posts in Citigroup Category

Citigroup Sanctioned $11.5 Million for Displaying Inaccurate Equity Research Ratings, Such as "Buy" When the Firm Meant "Sell"

FINRA fined Citigroup Global Markets $5.5 million and ordered the firm to pay $6 million to retain customers as compensation for displaying inaccurate research ratings for equity securities, such as ...
Continue reading "Citigroup Sanctioned $11.5 Million for Displaying Inaccurate Equity Research Ratings, Such as "Buy" When the Firm Meant "Sell"" »

NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly

The oil-and-gas Master Limited Partnership (MLP) Linn Energy (NASDAQ: LINE) plunged its investors further into financial peril with a 2016 Chapter 11 Bankruptcy filing, while a Bankruptcy Court this ...
Continue reading "Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly" »

Mehran 'Ron' Tazhibi Sanctioned for Unsuitable Speculative Bond Recommendation to Retired Clients

FINRA suspended former Citigroup Global Markets, Merrill Lynch, and Fidelity Brokerage Services rep Mehran Tazhibi aka Ron Tazhibi of Northern California for unsuitably recommending that two retirees ...
Continue reading "Mehran 'Ron' Tazhibi Sanctioned for Unsuitable Speculative Bond Recommendation to Retired Clients" »

Citigroup to Pay $18 Million for Overbilling Clients, Misplacing Decades-Worth of Client Contracts

After finding that Citigroup Global Markets overbilled clients over a 15-year period, the SEC reached agreement with the firm to pay $18.3 million to settle the charges of overbilling and an ...
Continue reading "Citigroup to Pay $18 Million for Overbilling Clients, Misplacing Decades-Worth of Client Contracts" »

Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses

The once-boisterous oil and gas sector has dramatically cooled, translating into multi-million dollar losses for investors improperly sold these risky products and leaving a flurry of frozen calls ...
Continue reading "Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses" »

FINRA Fines Citigroup $15 Million for Supervisory Failures in IPO Research and Non-Public Communications

FINRA fined Citigroup Global Markets, Inc. $15 million for its failure to adequately supervise both internal and external communications related to equity research, furthermore allowing an equity ...
Continue reading "FINRA Fines Citigroup $15 Million for Supervisory Failures in IPO Research and Non-Public Communications" »

Kent George Lehman Barred for Improperly Borrowing From Customers, Failure to Cooperate

FINRA barred former Citigroup, Morgan Stanley & Securian Financial Services, Inc. broker Kent George Lehman of Orange, California for improperly borrowing money from clients and misrepresenting ...
Continue reading "Kent George Lehman Barred for Improperly Borrowing From Customers, Failure to Cooperate" »

Morgan Stanley Fined $5 Million for Supervisory Failures Related to Initial Public Offering Sales

FINRA fined brokerage firm Morgan Stanley Smith Barney LLC $5 million for supervisory failures exhibited in the solicitation and sales of shares of 83 initial public offerings (IPOs), which included ...
Continue reading "Morgan Stanley Fined $5 Million for Supervisory Failures Related to Initial Public Offering Sales" »

Citigroup Global Markets Ordered to Pay $1.1 Million for Illegal Short Selling Prior to Public Offerings, Supervisory Failures

FINRA ordered Citigroup Global Markets, Inc. to pay $1.1 million in connection with illegal short sales effected prior to participating in five public offerings of securities. The $1.1 million ...
Continue reading "Citigroup Global Markets Ordered to Pay $1.1 Million for Illegal Short Selling Prior to Public Offerings, Supervisory Failures" »

FINRA Arbitration Panel Orders Citigroup to Pay $10.75 Million for Overconcentration Negligence and Failure to Supervise

A FINRA arbitration panel ordered Citigroup Inc. to pay $10.75 million to an investor who claimed former broker Edward James Mulcahy was grossly negligent and that the firm's branch manager failed ...
Continue reading "FINRA Arbitration Panel Orders Citigroup to Pay $10.75 Million for Overconcentration Negligence and Failure to Supervise" »

Richard Grant Cody Fined & Suspended For Unsuitable and Excess Trading

FINRA fined broker Richard Grant Cody $27,500 and suspended him through January 6, 2014 after Cody was found to have engaged in unsuitable and excessive trading in customer accounts. The sanctions ...
Continue reading "Richard Grant Cody Fined & Suspended For Unsuitable and Excess Trading" »

Jane Elizabeth O'Brien Barred for Unauthorized $3 Million Loans, Failure to Repay Clients, Alleged Securities Fraud

FINRA barred Jane Elizabeth O'Brien after she allegedly borrowed $3 million from clients without permission from and without the knowledge of either of her two employing firms, Citigroup Global ...
Continue reading "Jane Elizabeth O'Brien Barred for Unauthorized $3 Million Loans, Failure to Repay Clients, Alleged Securities Fraud" »
accolades
The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
Website: