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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, 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, breach of fiduciary duty, breach of contract, overconcentration and unsuitability (puerto rico municipal bonds and closed-end funds).

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