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FINRA Broker Allegations

Allegations against: Fariba Ronnasi

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Eight customers named allege breach of fiduciary duty and breach of washington state securities act relating to private fund investments made in 12/2014, 4/2015, 5/2015, 7/2015, 11/2015, 12/2015 and 1/2016. One customer makes identical allegations regarding a promissory note investment in 9/2014.

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