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FINRA Broker Allegations

Allegations against: Jaime Antonio Casellas

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Client's allege over-concentration, unsuitability, breach of fiduciary duty, violations of securities laws and rules, breach of contract, negligence, fraud, false inducement to inaction, failure to supervise, breach of duty of good faith and fair dealing (puerto rico bonds). includes request for rescission, punitive damages, interest, costs, fees.

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