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FINRA Broker Allegations

Allegations against: Shannon Kelly Klug

Allegation type: Customer Dispute

Allegation status: Award / Judgment

The allegations read: Fraud/unsuitability, deceptive practices, breach of fiduciary duty, breach of contract, negligence and negligent misrepresentation, violation of finra conduct rules, violation of \\u00a715 of the 1933 securities act, violation of \\u00a720(a) of the 1934 securities exchange act, and violation of michigan blue sky laws.

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