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FINRA Broker Allegations

Allegations against: Anthony Diaz

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: From 2006-2010, claimant alleges rr misrepresented guaranteed payments of interest, violated suitability requirements by recommending illiquid products, falsified liquid and net worth information, inflated income, and forged or cause to be forged certain account documentation. Claimant also alleges rr made false statements that were material to claimant's decision to invest.

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