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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, overconcentration, unsuitability, violations of securities laws, fraud, negligent misrepresentation and omission, breach of fiduciary duty, breach of contract, and failure to supervise (puerto rico closed-end funds).

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