DONNA EVE ROGERS is currently employed as a Broker and/or Investment Adviser at CITIGROUP GLOBAL MARKETS INC. located at CITI RETAIL BANKING, 349 MAIN STREET, HUNTINGTON, NY, 11743.
DONNA EVE ROGERS has worked at CITIGROUP GLOBAL MARKETS INC. since May 29, 2007
Disclosure History
DONNA EVE ROGERS has 2 Disclosure Event(s).
Date: February 06, 2009 Category: Customer Dispute Allegations: COMPLAINT ABOUT AUCTION RATE SECURITIES THAT ALLEGED MISREPRESENTATION AND FAILURE TO FOLLOW INSTRUCTIONS - 7/23/08. DAMAGES UNSPECIFIED. Settlement Amount: $25,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE FIRM REACHED AGREEMENT WITH THE CLIENT AS AN ACCOMMODATION, PURSUANT TO WHICH IT REPURCHASED ARS FOR THEIR FULL PAR VALUE. THE FINANCIAL ADVISOR WAS NOT A PARTY TO THE SETTLEMENT, DID NOT MAKE ANY PAYMENT TO THE CLIENT, AND WAS NOT ASKED TO AND DID NOT CONTRIBUTE TO THE REPURCHASE AMOUNT. THE SETTLEMENT AMOUNT IN ITEM 11 ABOVE REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, AS REQUIRED BY FINRA REGULATORY NOTICE 09-12.
Date: May 20, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THE PURCHASE OF A MUTUAL FUND WAS UNSUITABLE. 2006. DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED.
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