Mark Flanagan, formerly with Citigroup Global Markets, Barred from Securities Industry

-Highland Park, Illinois

Have you lost money with financial advisor Mark Flanagan from Highland Park, Illinois?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Mark J. Flanagan. FINRA barred Flanagan from the securities industry after he failed to respond to an investigation.  Flanagan was being investigated after he was terminated by his former brokerage firm, Citigroup Global Markets.  Flanagan was terminated after an alleged customer complaint.

Mark Flanagan was a registered representative and financial advisor with Citigroup Global Markets from January 2014 to March 2017.  He worked out of a branch office in Highland Park, Illinois.  He has been the subject of at least five customer complaints, including one in which a customer was sent purported “income”, even though the money came from a margin account.

Broker-dealers like Citigroup Global Markets have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives.  Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations.  When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington.  We represent investors in FINRA arbitration in all 50 states, including over 150 investors in the past from throughout the Chicagoland area, Northern Illinois, and Central Illinois.

Attorney David Neuman was born in Berwyn, Illinois and grew up in the western suburbs in Addison.  He earned a degree in Finance at the University of Illinois in Urbana-Champaign before earning his law degree at Northern Illinois University in DeKalb, Illinois.  Mr. Neuman also previously worked for a number of Chicago area law firms, including firms in St. Charles, Geneva, Chicago, and Barrington.

Click to view:  Flanagan, Mark BrokerCheck 11.30.18

Click to view:  Flanagan, Mark FINRA AWC

If you have lost money with Mark Flanagan and Citigroup Global Markets, and want to hear about ALL legal options, please visit https://www.israelsneuman.com/ or call us at 720-599-3505.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.