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FINRA Broker Allegations

Allegations against: Anthony Diaz

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Customers allege the 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 cause to be forged certain account documentation. Also allege rr made false statements that were material to claimants' decision to invest.

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