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Joao Bastos: Did Miami Beach Advisor Make Unauthorized Purchase?
Citigroup Global Markets advisor Joao Bastos (CRD# 4628555) recently received an investor complaint alleging he made an unauthorized purchase. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Miami Beach, Florida.
Mr. Bastos’s BrokerCheck report discloses one investor complaint. Filed in July 2022, the complaint alleges that as a representative of Citigroup Global Markets, he purchased an investment in structured notes without the customer’s authorization “and without providing any product information.” The complaint alleges further that the customer told Mr. Bastos that “he did not wish to be in the market for an indefinite period of time.” The pending complaint alleges unspecified damages.
According to the Financial Industry Regulatory Authority, Joao Bastos holds 18 years of securities industry experience. Based in Miami Beach, Florida, he has been a broker and an investment advisor with Citigroup Global Markets since 2019. He is also registered with the firm’s office in Hialeah, Florida. His past registrations include LPL Financial (Hialeah Gardens, Florida; 2014-2019), HSBC Securities (Miami, Florida; 2013-2014), Wells Fargo Advisors (Miami, Florida; 2010-2012), UBS Financial Services (New York, New York; 2010), UBS International (New York, New York; 2005-2010), JP Morgan Securities (New York, New York; 2004-2005), Chase Investment Services (Chicago, Illinois; 2003-2004), MetLife Securities (Springfield, Massachusetts; 2003), and Metropolitan Life Insurance Company (New York, New York; 2003). His credentials include the passage of five securities industry examinations: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in California, Colorado, Delaware, Florida, New York, North Carolina, and Texas. (Information current as of August 21, 2022.)
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