Dwain Carroll, of Holbrook, New York, a stockbroker formerly registered with Citigroup Global Markets Inc., was terminated from employment on November 5, 2015, based upon allegations that he facilitated an unauthorized transaction involving a customer’s funds by signing a customer transfer form that the customer never authorized.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Carroll has also been subject of a customer initiated investment related arbitration claim, which settled for $9,800.00 in damages on March 3, 2017, wherein the customer’s claim was supported by accusations that during the time that Carroll was associated with Citigroup Global Markets, he negligently handled the customer’s account, made unsuitable investment recommendations concerning the customer’s 2015 variable annuity purchase, and breached his fiduciary duties.
Carroll’s registration with Citigroup Global Markets Inc. was terminated on November 23, 2015. From October 20, 2016, to January 12, 2017, he was registered with Supreme Alliance LLC.
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