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FINRA Broker Allegations

Allegations against: Carlos Verner Ubinas Taylor

Allegation type: Customer Dispute

Allegation status: Withdrawn

The allegations read: Claimants allege a failure to supervise in connection with unsuitable recommendations and misrepresentations in connection with their purchases of closed-end municipal bond funds. Time frame: july 31, 2013 through january 31, 2015

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