Our Staff has compiled our research into a database of FINRA Broker Disclosures for Citi Private Advisory, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Ricardo Yepes | 5416739 | 1 | 06/01/2015 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Alfredo Horacio Pardo | 5820348 | 1 | 12/17/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Stewart Gourley | 2790939 | 1 | 11/30/2009 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Rocio Mora Salazar | 5236730 | 1 | 10/01/2009 | Customer Dispute | Settled | $320,000.00 | $0.00 | See FINRA Report |
| Einat Sadka | 4856186 | 1 | 01/21/2008 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Paul Mary Joseph Cooke | 2153994 | 1 | 10/26/2001 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |