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FINRA Broker Allegations

Allegations against: David M Reyes

Allegation type: Regulatory

Allegation status: Final

The allegations read: Without admitting or denying the findings, reyes consented to the sanctions and to the entry of findings that he certified to the state of new york that he had personally completed 15 hours of continuing education required to renew his state insurance license when, in fact, another person had completed that continuing education on his behalf.

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