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FINRA Broker Allegations

Allegations against: John Thomas Guzy

Allegation type: Customer Dispute

Allegation status: Denied

The allegations read: Claimant alleges that the mishandling of her account by fc resulted in sustained losses in excess of $150,000.00. Claimant further alleges that fc was not properly supervised and sold her mutual funds that were not consistent with her investment objectives or risk tolerances.

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