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FINRA Broker Allegations

Allegations against: Timothy Neil Tremblay

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: [customer] alleged trading losses of approx. 24,000.00 and a lost trading bonus of approx. 28,000. Due to a conspiracy of a former business partner and her account executive (t. Tremblay) which involved forgeries of account documentation.

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