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FINRA Broker Allegations

Allegations against: David Gerard Specht

Allegation type: Customer Dispute

Allegation status: Award / Judgment

The allegations read: The customers stated that in february 2017 they invested in a managed account that was described by the registered representative as having a "tax sensitive approach." however, the customers alleged that the management of the account resulted an unexpected tax burden when they filed their 2017 taxes.

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