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FINRA Broker Allegations

Allegations against: Nelson Rodriguez Fernandez

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Time frame: unspecified allegations: claimant alleges the recommendations to invest in and hold puerto rico closed-end bond funds and municipal bonds were unsuitable, and that she account was unsuitably over-concentrated in those investments. Claimant also alleges that the risk of concentration in puerto rico investments was misrepresented.

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