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FINRA Broker Allegations

Allegations against: Jaime Antonio Casellas

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Clients allege, among other things, negligence, negligence in violation of industry standards, breach of suitability duty, breach of duty to engage in fair dealings, churning or excessive trading, failure to supervise, overconcentration, breach of fiduciary duty, and breach of contract (puerto rico municipal bonds and closed-end funds).

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