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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, violations of the securities laws and regulations, common law fraud, constructive fraud, negligent misrepresentation, breach of fiduciary duty, breach of contract, negligent management, negligent supervision, and fraudulent concealment of misconduct (puerto rico bonds and closed-end funds). Includes claims for rescission, punitive damages, interest, costs and fees.

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