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FINRA Broker Allegations

Allegations against: Edward James Balmes

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: It was alleged that between 2010 and 2020, certain customer(s) and/or purchaser(s) of certain investments and/or securities expressed concerns concerning suitability and/or declines in portfolio values and/or other alleged concerns about such purchases, by filing such allegations with the financial industry regulatory authority (finra) on july 23, 2020.

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