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FINRA Broker Allegations

Allegations against: David Michael Sherwood

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Client alleges mr sherwood made unsuitable and unauthorized investments, compensatory damages are unspecified. However claims for other damages, including investment losses, emotional distress and punitive damages are beleived to exceed $5,000 but not more than $100,000.

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