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FINRA Broker Allegations

Allegations against: Stacey Lee Rognon

Allegation type: Customer Dispute

Allegation status: Award / Judgment

The allegations read: Rognon was named in a customer complaint that asserted the following causes of action: negligence and gross negligence, misrepresentation, omission of a material fact, failure to supervise, breach of fiduciary duty, breach of contract, and control person liability.

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