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FINRA Broker Allegations

Allegations against: Robert Smith Gesdorf

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Customer claims that based on her advanced age and the fact that she had recently suffered a concussion, she did not fully comprehend the investment advisory agreement she had entered into with her representative, particularly the nature of the fees involved. Customer requests that any advisory fees charged to her accounts be returned.(1/7/2014 - 3/20/2014)

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