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FINRA Broker Allegations

Allegations against: Jack Winfield Graves

Allegation type: Regulatory

Allegation status: Final

The allegations read: The kansas insurance department suspended mr. Graves' insurance license for a maximum three-month period after mr. Graves did not satisfy certain continuing education requirements and/or pay the applicable licensing fees because mr. Graves no longer had a need for a kansas insurance license and he intended to voluntarily surrender his kansas insurance license. The suspension was not conduct related and the state of kansas did not impose any fines or sanctions other than the temporary license suspension.

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