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FINRA Broker Allegations

Allegations against: Moghis Uddin Mohammad

Allegation type: Customer Dispute

Allegation status: Pending

The allegations read: The allegations are in general terms without specifics and allege that we breached fiduciary, statutory and contractual responsibilities in q4 of 2018. breach of consumer protection act, negligent misrepresentation, breach of investment adviser act of 1940, failure to supervise under the washington state securities act, violation of the washington state securities act

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