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FINRA Broker Allegations

Allegations against: Charles Alan Correal

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Claimaint alleges, inter alia, that stocks purchased in client's account from 2012 to 2015 were unsuitable. Per ms filing 3/14/18, claimant alleged that the fa invested her account in unsuitable securities including structured products and misrepresented the risks of the investments 12/01/2012 - 07/31/2015

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