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FINRA Broker Allegations

Allegations against: William Madison Swayne

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Claimant alleges breach of fiduciary duty, violation of washington consumer protection act, negligence, negligent misrepresentation, and violation of the washington state securities act in relation to the purchase of several dpps, equipment leasing, and oil & gas interests.

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