William Shyan Chan, a Citigroup Global Markets broker, is the subject of customer dispute disclosures reported on his FINRA BrokerCheck profile.

According to FINRA BrokerCheck, Chan is currently registered with Citigroup Global Markets Inc. His BrokerCheck report lists 2 customer dispute disclosures, including 1 pending customer dispute and 1 final or denied customer dispute. (FINRA BrokerCheck: https://brokercheck.finra.org/individual/summary/3103541)

Chan has been registered with Citigroup Global Markets Inc. since March 2011. His BrokerCheck report also lists prior registrations with UnionBanc Investment Services, Citigroup Global Markets, Citicorp Investment Services, WM Financial Services, American Express Financial Advisors, IDS Life Insurance Company, White Pacific Securities, Thomas F. White & Co., and SunAmerica Securities. (FINRA BrokerCheck PDF: https://files.brokercheck.finra.org/individual/individual_3103541.pdf)

Pending Customer Dispute Reported by FINRA

FINRA BrokerCheck reports a pending customer dispute involving Citigroup Global Markets Inc. The claimant alleges unsuitability, violations of California’s Blue Sky law, negligence, failure to supervise, failure to act in the claimant’s best interest, use of manipulative, deceptive, or other fraudulent devices, breach of fiduciary duty, and breach of contract.

The product type is listed as Other: Structured Notes. Alleged damages are listed as $550,000. The matter is reported as a FINRA arbitration, docket number 26-00496. The complaint was received on March 4, 2026, with an arbitration filing date of March 3, 2026. (FINRA BrokerCheck PDF: https://files.brokercheck.finra.org/individual/individual_3103541.pdf)

Prior Denied Customer Dispute Reported by FINRA

FINRA BrokerCheck also reports a prior customer dispute involving Citigroup Global Markets Inc. The allegations involved a variable annuity and claims that the financial advisor misinformed the client regarding tax consequences and interest potential if the client moved an account from Hartford to Citi. The allegations also included a claim that the financial advisor forged the client’s signature on transfer documents.

The product type is listed as Annuity-Variable. Alleged damages were listed as $6,178. The complaint was denied on May 18, 2011. According to the broker statement included in the BrokerCheck report, the firm found the allegations to be without merit and denied the claim. (FINRA BrokerCheck PDF: https://files.brokercheck.finra.org/individual/individual_3103541.pdf)

Important Note for Investors

The allegations reported in FINRA BrokerCheck are allegations only. Pending customer disputes have not been proven, and denied matters may be closed without any finding of wrongdoing.

However, investors who suffered losses in structured notes, complex investment products, or other investments recommended through Citigroup Global Markets or a related financial professional may wish to review their account records and speak with an investment loss recovery attorney.

Sonn Law Group represents investors in claims involving unsuitable investments, structured note losses, complex investment products, broker misconduct, breach of fiduciary duty, and failure-to-supervise claims.

Investors who suffered losses in structured notes or other complex investments may contact Sonn Law Group to discuss potential recovery options.