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FINRA Broker Allegations

Allegations against: Carlos Verner Ubinas Taylor

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Claimant's counsel alleges the client was assured and falsely represented to him that his investment in the cefs and bonds were safe as the puerto rico government was setting aside money every month to guarantee that his bonds would be safe and secure and that his principal was protected. Time frame: not stated.

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