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FINRA Broker Allegations

Allegations against: Kim Marie Tricas

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: The client contacted the company (prudential) (as a result if prudential's remediation program letters that were mailed to all clients) with concerns regarding the funding proposal of two variable appreciable life (val) insurance policies they purchased in 1992. No compensatory damages were alleged.

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