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FINRA Broker Allegations

Allegations against: Doel Rafael Garciaromero

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Time frame: january 2011 - present claimants allege that their investments in puerto rico closed-end funds and municipal bonds were unsuitable, over concentrated and misrepresented as safe investments, and the financial advisors were insufficiently supervised by management.

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