Citigroup Global Markets Inc. broker William Chan (CRD# 3103541) was accused of structured note losses. He has been registered with Citigroup Global Markets Inc. in Rowland Heights, California, since 2011.
William Chan Customer Complaints
He has been the subject of two customer complaints between 2011 and 2026, one of which was denied, according to his CRD report:
March 2026. “Claimant alleges unsuitability; violations of California’s Blue Sky law; negligence; failure to supervise; failure to act in claimant’s best interest; use of manipulative, deceptive, or other fraudulent devices; breach of fiduciary duty; and breach of contract.” The customer is seeking $550,000 in damages, and the case is currently pending. The complaint was regarding structured note losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Citigroup Global Markets Inc. may be liable for investment or other losses suffered by William Chan’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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