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FINRA Broker Allegations

Allegations against: Anthony Diaz

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: From 2009, 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, and made false statements that were material to claimant's and her representatives decision to invest.

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