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FINRA Broker Allegations

Allegations against: James Taylor Davis

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Customers allege that from approximately july 2020 to march 2021, the representative failed to make clear to them the ramifications of signing the policy deliver acknowledgements for two variable universal life insurance policies and that they were not aware the policies were in force. The customers request a full refund of premiums paid into the policies.

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