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FINRA Broker Allegations

Allegations against: Ronald Barton Herold

Allegation type: Regulatory

Allegation status: Final

The allegations read: * the allegations were that i did not state a correct answer to a question that asked if i had been arrested in the last 10 years. This was on an application to a securities examination, nasd similar or the same as series 6, series 63 and possibly a kansas state insurance license.

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