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FINRA Broker Allegations

Allegations against: Anthony Diaz

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: From 6/2005 until 4/2009 at first allied rr misrepresented guaranteed payments of interest, violated suitability requirements by recommending illiquid products, falsified liquid and net worth information, inflated income, guaranteed returns, and forged or caused to be forged certain account documentation. Furthermore, diaz made false statements that were material to claimants'decision to invest.

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