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FINRA Broker Allegations

Allegations against: Brian Joseph Gotta

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Rep failed to follow client instructions related to her stock shares held with abington bancorp, inc. Which merged with seacost financial services. Mr gotta failed to respond to customer's request to reatain the shares on the election form to in order to keep the maximum precentage of the converted stock within the specified time frame. As a result the stock was sold.

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