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FINRA Broker Allegations

Allegations against: Dennis Phillip Ayre

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Claimants assert claims of failure to supervise, breach of fiduciary duty, respondeat superior, unsuitability, breach of contract, violations of california securities laws, violation of finra rules, fraud and other common law claims relating to purchases of certain stocks and bonds of energy companies, as well as sears common stock. From 3/1/2014 to 5/1/2017

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