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FINRA Broker Allegations

Allegations against: Dharmesh Vora

Allegation type: Customer Dispute

Allegation status: Pending

The allegations read: Claimants allege lack of suitability, fraud, breach of fiduciary duty, negligence, negligent misrepresentation, dishonest and unethical practices, breach of contract, breach of the implied duty of good faith and fair dealing, and other causes of actions related to recommendation of structured notes in 2021 and insurance products.

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