Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 5, 2017 indicate that former Illinois-based Citigroup Global Markets broker/adviser Mark Flanagan was recently terminated from his former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Flanagan (CRD# 1949836).
Mark Flanagan has spent thirteen years in the securities industry and was most recently registered with Citigroup Global Markets in Highland Park, Illinois (2014-2017). Previous registrations include Wells Fargo Advisors in Lake Forest, Illinois; Fifth Third Securities in Lake Forest, Illinois; UVest Financial Services Group in Chicago, Illinois; TCF Securities in Minneapolis, Minnesota; and Oppenheimer & Company. He is currently not registered with any state or firm.
According to his BrokerCheck report, Mark Flanagan has received two customer complaints and one pending customer complaint, and was recently terminated from a former employer.
In March 2017 he was discharged from his position at Citigroup Global Markets following an “internal investigation into allegations in a customer complaint; violation of firm policy by using personal email to communicate with the client, and failure to obtain Firm approval for letter verifying investment income on behalf of the client.”
In February 2017 a customer alleged Mark Flanagan, while employed at Wells Fargo Advisors, executed unauthorized trades, used margin without authorization, and made unsuitable investments. The customer is seeking $1,000,000 in damages in the pending complaint.
In 2014 a customer alleged Mark Flanagan, while employed at Wells Fargo Advisors, recommended unsuitable investments, executed unauthorized trades, and inappropriately used margin in connection to investments in exchange-traded funds. The complaint settled for $101,868.
In 2008 a customer alleged Mark Flanagan, while employed at Fifth Third Securities, recommended investments that performed poorly. The complaint settled for more than $6,900.
If you have lost money investing with Mark Flanagan, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.