DID JOAO CARLOS BASTOS CAUSE YOU INVESTMENT LOSSES?
Joao Bastos Of Citigroup Global Markets Inc. And Formerly With LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Joao Bastos of Citigroup Global Markets Inc.?
Joao Bastos (CRD #4628555) who is currently registered as a broker and investment adviser with Citigroup Global Markets Inc. and located in Miami Beach, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Citigroup Global Markets Inc., Joao Bastos was associated with LPL Financial LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Joao Bastos Customer Complaints
Joao Bastos has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was denied by Citigroup Global Markets, and so far, the investor has not taken any further action. The other customer complaint evolved into a FINRA arbitration proceeding filed against Citigroup Global Markets last year and it is still pending.
Allegations Against Joao Bastos
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Breaches of fiduciary duty related to recommendations regarding structured products, negligence, fraud, breach of contract, violations of federal and state securities statutes, and violation of regulation best interest.
- Representative bought structured notes without customer’s authorization and without providing any product information.
Joao Bastos Red Flags & Your Rights As An Investor
Of course, Joao Bastos did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Joao Bastos at Citigroup Global Markets Inc. and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Joao Bastos has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Citigroup Global Markets Inc. and LPL Financial LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Citigroup Global Markets Inc. Due To Joao Bastos
If you have questions about Citigroup Global Markets Inc., LPL Financial LLC and/or Joao Bastos and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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