Chi Yu Lu (CRD#5407833) and CITIGROUP GLOBAL MARKETS INC.

We protect investors rights

Any previous customer complaints are made publicly available by FINRA. Reviewing these reports can help investors understand the regulatory history of their financial professionals.

Did you lose money on investments recommended by this financial advisor? Our legal team is available to speak with customers regarding potential claims for recovery. A review of their professional history shows the following Previously Reported Complaints:

Claim(s) Made Against Chi Yu Lu:

Claim Date: 7/9/2026

“Client wrote to FINRA stating that he requested information about margin usage that arose from a stock he purchased, and his advisor provided incorrect information about which stocks were held on margin. Client alleges that he sold stocks based on that information, and the firm’s trading restrictions left him unable to repurchase the stocks until after their market prices materially increased. Client estimated the adverse impact to exceed $25,000. Client also expressed concern that margin may not have been suitable for him and was not clearly explained. Occurrence Date From 05/03/2026 Occurrence Date To 05/11/2026, Disputed Amount $25000”

This claim, as of this posting, is currently Closed-No Action with a claim amount of $25,000.00 .

See more information on FINRA’s BrokerCheck site for Chi Yu Lu.

Did you have a negative experience with Chi Yu Lu?

If you were a client of Chi Yu Lu and CITIGROUP GLOBAL MARKETS INC. from SARATOGA, CA and had lost money in your account that does not seem right, we are interested in discussing the possibility of pursuing a claim on your behalf. (The value of having a lawyer look at your claim is discussed more thoroughly in our video, Do I need a lawyer for my FINRA arbitration?.) Brokerage firms are responsible for overseeing the actions of their registered representatives and must ensure that their financial advisors comply with all relevant regulations and company policies. The brokerage firm may be held liable for any investment losses suffered by customers due to their failure to properly supervise their agents, such as Chi Yu Lu. The Securities Lawyers at Halling & Cayo, S.C. have helped investors recover millions of dollars in the past.

Millions of dollars are lost each year by investors due to breaches of duty by their brokers or the firms they work for, we help investors recover that money. If you were a customer of Chi Yu Lu and CITIGROUP GLOBAL MARKETS INC. and experienced investment losses, please contact the Securities Lawyers. (See more detail in our video, What are the most common securities cases?.) We only receive payment if we are able to recover your money, and you may be eligible for financial compensation. It is important to note that there may be time limits or statutes of limitations that apply to your claim, so it is crucial to speak with an attorney as soon as possible.
Learn about potential claims for investment recovery, Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .

Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.

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