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FINRA Broker Allegations

Allegations against: Frank Roland Dietrich

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: [redacted] purchased $400,000 in woodbridge promissory notes via frank dietrich outside the scope of firm in 2013, 2015, and 2017. Woodbridge is not affiliated with firm. Quest has never approved such product and had no knowledge of this activity and transaction.

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