Investors apparently complained about securities broker Jorge Menendez [CRD: 5138358, Miami, Florida], according to disclosures on FINRA BrokerCheck. According to the regulator, Menendez has worked for Citigroup Global Markets Inc. since November 21, 2013, working at Citi Retail Banking in Miami, Florida, and CWM Retail, Sales in Doral, Florida. Read on to learn more about the allegations investors have raised against Menendez.
Particularly, on December 11, 2023, a Citigroup Global Markets Inc. client filed FINRA Arbitration No. 23-03505 about Jorge Menendez. The client alleged that Menendez overconcentrated the client’s portfolio in structured notes. Because of the securities broker allegedly engaging in unsuitable trading, the client sustained damages on derivatives. Therefore, the client requested $800,000 in compensation from Citigroup Global Markets Inc. or Menendez. It appears that the client settled for $135,000 in damages on February 12, 2025.
Specifically, a client of BB&T Investment Services Inc. contested Jorge Menendez’s sales practices by filing FINRA Arbitration No. 14-01627. Allegedly, Menendez made negligent misrepresentations and omissions, and he recommended investments that were not suitable for the client. It appears that Menendez caused the client to sustain damages on unit investment trusts. Therefore, BB&T Investment Services Inc. opted to settle the matter on October 2, 2014, by compensating the client in the amount of $49,500.
Seeking more information about Jorge Menendez? If you incurred losses, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer concerning a potential recovery. Soreide Law Group has recovered losses for investors throughout the country, represents clients on a contingency fee basis, and advances all costs. Menendez and brokerage firms Menendez worked for deny accusations of sales practice violations.
FINRA fined securities broker James Craig Etter [CRD: 5576744, Austin, Texas], according to disclosures on FINRA BrokerCheck. It appears that Etter worked for NatAlliance Securities LLC from January 6, 2012, to April 27, 2023. Keep reading to learn more about Etter’s disclosures. FINRA Sanctioned Etter For Undisclosed Private Securities Transactions And Outside Business Activities Evidently, […]
Investors might have sustained losses because of securities broker Ivanhoe Vincent Ffriend (also known as Ivanhoe Vincent Friend, Ivan Ffriend, and Ivan Friend) [CRD: 1013083, New Rochelle, New York], according to disclosures on FINRA BrokerCheck. Evidently, Ivanhoe Ffriend worked for multiple securities firms over the years, including J.P. Turner Company LLC and North Ridge Securities […]
Investors potentially experienced losses due to securities broker Isaiah Thomas Williams Jr. [CRD: 6211219, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. It appears that Isaiah Williams worked for Merrill Lynch Pierce Fenner Smith Incorporated from April 13, 2017, to January 3, 2025. Keep reading to learn more about the disclosures involving this former […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]