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FINRA Broker Allegations

Allegations against: Rafael Golan

Allegation type: Regulatory

Allegation status: Final

The allegations read: Respondent's failure to notify the office within 30 days ofa complaint or consent order, respectively, are violations of section 517.161, florida statutes, and rules 69w-600.001(2); 69w-600.002(1)(c); 69w-600.010 florida administrative code, and article v. Section 2(c) of the finra by-laws.

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