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FINRA Broker Allegations

Allegations against: Donald Gene Dewaay

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Alleged negligence, breach of fiduciary duty, breach of contract, material misrepresentations and omissions, and faud. Activities dated from 08/12/2004-08/10/2006. Dfn was not in receipt of actual documents. Information was pulled from vsr disclosure filing on crd.

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