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FINRA Broker Allegations

Allegations against: Robert Russel Tweed

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Claim alleges violation of federal and california securities laws, unfair, unlawful and fraudulent business practices under california law, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence relating to unsuitable recommendations (due diligence and customer specific) and in relation to investments made in january of 2015.

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