CHARLIE YEUNG is currently employed as a Broker and/or Investment Adviser at CITIGROUP GLOBAL MARKETS INC. located at CITI RETAIL BANKING, 38-17 MAIN STREET, FLUSHING, NY, 11354.
CHARLIE YEUNG has worked at CITIGROUP GLOBAL MARKETS INC. since May 29, 2007
CHARLIE YEUNG has 4 Disclosure Event(s).
Date: November 10, 2016 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT BEGINNING IN 2011 TO 2013, YEUNG BEGAN A MUCH MORE RISKY STRATEGY INCLUDING LOADING UP ON OIL AND GAS INVESTMENTS, SUCH AS MASSEY ENERGY CO., PETROLEO BRASILEIRO AND ALPHA NATURAL RESOURCES. IN ADDITION, CLAIMANT ALLEGES THAT YEUNG ENGAGED IN OVERCONCENTRATION, UNSUITABILITY, BREACH OF FIDUCIARY DUTY, NEGLIGENCE AND BREACH OF CONTRACT. Damage Amount Requested: $300,000.00 Settlement Amount: $75,000.00 Broker Comment: Firm decided to settle to avoid cost of litigation. RR did not have decision.
Date: July 26, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT "UNKNOWN TO THE FAMILY [CUSTOMER]}, THE FUNDS WERE PLACED IN A FIDELITY MUTUAL FUND CLASS-B STOCK [SIC]." Damage Amount Requested: $6,493.94 Broker Comment: CLAIM DENIED AS WITHOUT MERIT.
Date: April 04, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT MR. YEUNG "DID NOT HAVE REASONABLE GROUNDS FOR BELIEVING THAT THE RISKY FUNDS HE PURCHASED WERE SUITABLE FOR [HER]." Damage Amount Requested: $8,000.00
Date: February 14, 2002 Category: Customer Dispute Allegations: THE CLIENTS ALLEGE THAT THEY "LOST MORE THAN HALF OF THE RETIREMENT SAVING" DUE TO AN UNSUITABLE RECOMMENDATION"BY MR YEUNG. Damage Amount Requested: $29,000.00
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