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FINRA Broker Allegations

Allegations against: Evan A Schottenstein

Allegation type: Regulatory

Allegation status: Final

The allegations read: Without admitting or denying the findings, schottenstein consented to the sanction and to the entry of findings that he refused to provide on the record testimony requested by finra in connection with its investigation regarding issues raised in the form u5 filed by his former member in which he was terminated for concerns relating to trading activity for the account of a family member and the accuracy of the records regarding the same.

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