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FINRA Broker Allegations

Allegations against: Richard Joseph Jackson

Allegation type: Regulatory

Allegation status: Final

The allegations read: Without admitting or denying the findings, jackson consented to the sanctions and to the entry of findings that he made promissory, unwarranted, and exaggerated claims in individual email communications he sent to customers, including unwarranted predictions and projections of future performance. The findings stated that those emails were also not fair and balanced because they omitted key risks associated with the specific stocks or industries discussed in them.

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