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

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