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FINRA Broker Allegations

Allegations against: Marcio Moraes Marciano Da Rocha

Allegation type: Customer Dispute

Allegation status: Award / Judgment

The allegations read: Claimant alleges, inter alia, that the recommendation to invest in a risky option strategy was misrepresented and unsuitable for them from november 15, 2019 to march 31, 2020.

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