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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 securities laws, fraud, unsuitability, breach of fiduciary duty, breach of good faith and fair dealings, breach of contract, and gross and wanton negligence (puerto rico bonds and closed-end funds).

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