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FINRA Broker Allegations

Allegations against: Peter Lewis Goffin

Allegation type: Customer Dispute

Allegation status: Denied

The allegations read: Florida resident complains regarding feb-april 2000 purchases of high-tech and new economy mutual funds in account with investment objective of conservative investments intended to generate regular income. No demand has been made; however client rquests review of account. Losses in account approximate $150,000.

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