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FINRA Broker Allegations

Allegations against: Dharmesh Vora

Allegation type: Customer Dispute

Allegation status: Pending

The allegations read: Clients allege fraud, breach of fiduciary duty, negligence, negligent misrepresentation, intentional misrepresentation, violations of the arizona securities act, conspiracy to commit securities fraud, and breach of contract and the implied duty of good faith and fair dealing related to the recommendation of structured notes on or about 2021.

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