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FINRA Broker Allegations

Allegations against: Fred Chen

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Negligence, negligence-violation of best interest, misrepresentations & omissions, omission of material facts, unsuitable recommendations, breach of fiduciary duty, violations of finra rules 2010,2020,2110,2111,2114,2310,3010 & 3110, breach of contract, fraud

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