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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 unsuitability, over-concentration, violations of securities laws and rules, fraud, breach of fiduciary duty, breach of good faith and fair dealings, negligence, failure to supervise, breach of contract, and gross and wanton negligence (puerto rico bonds and closed-end funds). Includes request for punitive damages, interest, costs, fees, disgorgement of commission/fees and rescission.

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