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FINRA Broker Allegations

Allegations against: Anthony Diaz

Allegation type: Employment Separation After Allegations

Allegation status:

The allegations read: During an internal investigation it was discovered that the registered representative was soliciting sales of annuities to clients and was not appointed with the annuity companies to sell the annuities. The representative was having clients complete the annuity contracts and giving the paperwork to the principal in his office to sign as the selling agent.

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