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FINRA Broker Allegations

Allegations against: David Richard Geake

Allegation type: Customer Dispute

Allegation status: Pending

The allegations read: Violations of federal securities laws, violation of il consumer fraud and deceptive business practices act, violation of il securities law, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence, related to the purchase of a gwg l bond in june 2018.

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