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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, violations of pr securities laws, negligent misrepresentation and omission, breach of fiduciary duty, negligence in violation of industry standards, failure to supervise, and breach of contract (puerto rico closed-end funds). Includes claims for punitive damages, interest, and fees.

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