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FINRA Broker Allegations

Allegations against: Jaime Antonio Casellas

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Client alleges, among other things, unsuitability, overconcentration, failure to treat claimants in a just and equitable manner, breach of contract, breach of fiduciary duty, violations of finra rules, negligence, negligent supervision, negligent misrepresentation and omissions (puerto rico bond funds). Includes request for disgorgement of commissions and fees, punitive damages, interest, costs and fees.

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