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FINRA Broker Allegations

Allegations against: Robert Joseph Hanlon

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Missouri resident alleges that fa was contacted by plaintiff's husband, who instructed fa to sell all the assets in husband and wife's joint account. Complainant alleges that fa was negligent in releasing $42,637.01 from that transaction in that fa knew or should have known that plaintiff had no knowledge of the transaction because she and her husband were separated. Plaintiff seeks damages from fa in excess of $25,000 plus costs.

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