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FINRA Broker Allegations

Allegations against: Michael James Conte

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Unsuitability, misrepresentation, omission to state material facts, breach of fiduciary duty, unauthorized trading, violation of nasd and nyse rules,breach of agreement, negligence, fraud, violation of 1934 securities exchange act and rule 10b-5 10/9/03-10/30/2005

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