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FINRA Broker Allegations

Allegations against: William Dale Dobbs

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Customer alleged the representative failed to establish a stop loss on her accounts which has caused her to realize a greater loss than what was previously agreed. Customer opened a mutual fund account and a variable annuity in april 2008 and a variable life isnurance policy in june 2008. No specific compensation damages were alleged.

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