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FINRA Broker Allegations

Allegations against: Laurence Bache Rossbach

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Claimants allege misrepresentation with respect to the sale of mat 3. Alleged time frame 2007-2008. The firm denies the allegations as the risks were disclosed both verbally and in writing and the losses were the result of historic market events.

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