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FINRA Broker Allegations

Allegations against: Stephen Jay Taft

Allegation type: Customer Dispute

Allegation status: Denied

The allegations read: Time frame: 2/4/2005 to 3/06/2009 the client alleges that her financial advisor made unsuitable recommendations bases upon her personal investment objectives. The client further alleges that there were unauthorized trades executed in her account. The alleged damages are estimated to be in excess of $5,000.00

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