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FINRA Broker Allegations

Allegations against: Donald Lee Smith

Allegation type: Customer Dispute

Allegation status: Award / Judgment

The allegations read: Smith was named in a customer complaint that asserted the following causes of action: violation of the pennsylvania unfair trade practices and consumer protection law, negligence/unsuitability, fraud, violations of finra rules 2010 and 2020, violation of the pennsylvania securities act of 1972, fraudulent concealment, and breach of contract.

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