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FINRA Broker Allegations

Allegations against: Anthony Diaz

Allegation type: Customer Dispute

Allegation status: Award / Judgment

The allegations read: Diaz was named in a customer complaint that asserted the following causes of action: damages arising from suitability, fraud, negligent misrepresentation and omission, violation of finra rules and blue sky laws, lack of supervision, and respondeat superior.

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