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FINRA Broker Allegations

Allegations against: Andrew Joseph Hall

Allegation type: Customer Dispute

Allegation status: Denied

The allegations read: Client alleges ie purchased and sold lu in late 1999 and early 2000 without authorization. Also alleges purchase of t on 3/2/00 was for a $18,000 when he only requested ja purchase of $5,000. Also alleges purchase of fcscx on 3/17/00 was misrepresented. Current combined realized and unrealuzed losses total approximately $60,000.

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