LOST MONEY IN GWG L BONDS? CLICK HERE TO LEARN MORE
LOST MONEY IN GWG L BONDS? CLICK HERE TO LEARN MORE
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Category:
Failure to Supervise
UBS Fined $850K by FINRA: Uncovering a Decade of Compliance Failures and Misconduct
July 10, 2024
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Rockefeller Financial Faces $100k Regulatory Fine for Disclosure Lapse
January 24, 2024
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Frank Kuiper of Concorde Investments: $1M Customer Complaint
October 09, 2023
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Damian Maggio of Joseph Stone: $3M in Complaints Filed
October 06, 2023
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Recovery Options for Webull Customers: Contact KlaymanToskes
July 17, 2023
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Attention Michele Fane Customers: Investor Files $2.4M Complaint
February 17, 2023
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Morgan Stanley to Pay Nearly $700k Over Unsuitable and High-Risk Investments
January 25, 2023
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Losses in Henley & Company Ponzi Scheme? KlaymanToskes Has Recovery Options
January 05, 2023
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Notice to LPL Financial Customers: LPL Fined $150k For Failure to Supervise Rhett Bedwell
December 12, 2022
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National Securities Corporation GPB Capital Investor Alert
June 23, 2022
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Horizon Private Equity Ponzi Scheme Investor Update
June 22, 2022
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Morgan Hill GWG L Bond Investor Alert
June 22, 2022
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Western International Securities GWG L Bond Alert
June 22, 2022
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National Realty Investment Advisers Partners Portfolio Fund Bankruptcy
June 15, 2022
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Shawn Good Morgan Stanley Investor Update: Morgan Stanley Hit with $2M Investor Complaint
June 09, 2022
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GWG L Bond Alert: GWG Notifies SEC of Late Filing
June 02, 2022
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Paul Murphy Calton & Associates Investment Losses?
June 01, 2022
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Edric McSween Ameriprise Financial Services Investment Losses?
June 01, 2022
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GWG L Bonds Commonly Asked Questions
May 31, 2022
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National Securities Corporation GWG L Bond Losses?
May 23, 2022
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Tony Barouti Facing GWG L Bond Investment Loss Claim
May 19, 2022
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John Crigler JRL Capital GWG L Bonds Investor Alert
May 18, 2022
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GWG L Bonds Losses with Colorado Financial Advisor Ann Louise Werts?
May 11, 2022
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Arizona Broker Janie Garza-Clark Barred by FINRA
May 11, 2022
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Lose Money Investing with NI Advisors’ Peter Po on GWG L Bonds?
May 09, 2022
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GWG Investment Losses Alert: What Firms Sold GWG L Bonds?
May 05, 2022
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Why is the SEC Investigating GWG Holdings and its L Bonds?
May 05, 2022
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Emerson Equity GWG L Bond Losses?
May 04, 2022
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Lost Money Investing in GWG L Bonds with Tony Barouti?
May 04, 2022
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GWG Bankruptcy Prepares for Creditor’s Committee Meeting as L Bond Losses Loom
May 04, 2022
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Recover Morgan Stanley Tony Gallea Covered Call Options Investment Losses
April 29, 2022
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Recover GWG L Bond Investment Losses Following GWG Bankruptcy
April 27, 2022
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Tony Barouti, Emerson Equity GWG L Bond Broker and CEO of Los Angeles-Based Barouti Financial Services, Facing Investor Complaints
April 23, 2022
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Worden Capital Jason Wilk Investor Alert: Ex-Broker Barred by FINRA
March 14, 2022
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Recent Financial Advisor Terminations: Reid Andrew, Walter Hall, Craig Norton, and Lee Rycraft
February 23, 2022
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Recover Darryl Cohen Morgan Stanley Investment Losses
February 14, 2022
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Former UBS Financial Advisor German Nino Accused of Stealing $5.8M from Client
January 27, 2022
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Aegis Capital’s Joseph LaScala Excessively Traded Customer Account
January 25, 2022
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ATTENTION JAMES ALAN SEIJAS CUSTOMERS THAT INVESTED IN THE Q3 TRADING CLUB: National Investment Fraud Lawyers KlaymanToskes Investigates Former Wells Fargo Broker in Light of His Role in a Crypto Ponzi Scheme, Bar from Industry
January 25, 2022
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FINRA Accuses William Athas, Former Worden Capital and K.C. Ward Financial Broker, of Excessive Trading in Customer Accounts
January 20, 2022
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Wells Fargo Unit Investment Trust Failure to Supervise Early Rollovers, Settles with FINRA
January 07, 2022
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(NKLA) Nikola Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Nikola in Light of $125M Settlement for Fraud Charges
January 05, 2022
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Merrill Lynch ACH Transfer Failure To Supervise Results in Fines Totalling Nearly $1 Million
January 01, 2022
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Steven Musielski Investment Losses at Cambria Capital? National Investor Fraud Law Firm KlaymanToskes Investigates Former California Broker Barred by FINRA
December 02, 2021
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Leonard Joseph Marzocco Woodstock Financial Investor Alert: Former Nesconset, New York Broker Suspended Again for Excessive Trading
November 29, 2021
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ATTENTION KALOS CAPITAL GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses
November 22, 2021
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ATTENTION GENEOS WEALTH MANAGEMENT GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses
November 19, 2021
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ATTENTION FSC SECURITIES GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Continues Pursuit of FINRA Arbitration Claims for GPB Investment Losses
November 18, 2021
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AEGIS CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Aegis Capital after FINRA Sanctions Aegis Capital and its Melville Branch Manager For Supervisory Violations Costing Investors Millions
November 16, 2021
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TD AMERITRADE GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues Investigation Of and Files Claim Against TD Ameritrade Seeking in Excess of $500,000 on Behalf of Investor Who Purchased GPB Capital Through Advisor of TD AMERITRADE ADVISORDIRECT® Referral Program
November 08, 2021
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JIHYE KANG AXA ADVISORS INVESTMENT LOSSES? National Investor Fraud Law Firm KlaymanToskes Investigates Ex-Broker in Light of Forgery Accusations, Securities Bar
November 04, 2021
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Ken Welsh Wells Fargo Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Former Fairfield, NJ Financial Advisor
November 02, 2021
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UNITED PLANNERS GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages United Planners Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action
October 25, 2021
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SAGEPOINT GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages SagePoint Financial Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action
October 25, 2021
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FSC SECURITIES GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages FSC Securities Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action
October 22, 2021
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SAGEPOINT FINANCIAL GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Encourages SagePoint Financial Customers Who Invested in GPB Capital Holdings to Explore Legal Options in Light of Ongoing SEC Action
October 21, 2021
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EUGENE MCADAMS JOSEPH STONE INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Barred Broker in Light of FINRA Suitability Investigation
October 18, 2021
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Daniel O’Neill Aegis Capital Investor Alert: FINRA Accuses Former Broker of Excessive, Unsuitable Trading
October 12, 2021
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Lee Nordstrom Vorphal Wing Securities Investor Alert: FINRA Bars Broker Investigated for Excessive Trading
October 11, 2021
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ATTENTION Eric Hollifield Hamilton Investment Counsel Customers: Dacula, Georgia Investment Advisor Accused of Misappropriating $1.24M of Client Funds
October 08, 2021
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Jeffrey Dampf PFS Investments, Inc. Investor Alert: FINRA Bars PFS Investments, Inc. Broker
October 07, 2021
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Jeffrey Warren Oppenheimer & Co. Investor Alert: National Investor Fraud Law Firm KlaymanToskes Investigates Florida Financial Advisor in Light of Securities Bar
October 01, 2021
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ATTENTION MARTIN LERNER DAVID LERNER ASSOCIATES CUSTOMERS: National Investor Fraud Law Firm KlaymanToskes Investigates Broker in Light of $600,000 Energy 11 LP Customer Dispute
September 30, 2021
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David Wells Fifth Third Securities Investor Alert: FINRA Bars Broker Following Resignation, Allegations of Misappropriating Client Funds
September 28, 2021
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Joseph Todaro Worden Capital Investor Alert: Customer Files Dispute Alleging Excessive Trading Against Melville, New York Broker
September 27, 2021
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Ronnie Metcalf Voya Financial Investor Alert: Ex-Voya Financial, Current Cetera Advisors Network Financial Adviser Facing Millions in Customer Disputes
September 22, 2021
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ATTENTION STEPHEN SULLIVAN SPARTAN CAPITAL SECURITIES CUSTOMERS: KlaymanToskes Investigates Broker in Light of Pending FINRA Investigation of Churning, Unsuitable Recommendations
September 16, 2021
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ATTENTION CURRENT AND FORMER OPPENHEIMER CUSTOMERS WHO INVESTED IN HORIZON PRIVATE EQUITY III: National Investor Fraud Law Firm KlaymanToskes Announces Investigation of Potential Claims on Behalf of Oppenheimer Customers Over Ponzi Scheme Losses
September 02, 2021
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GPB CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Continues to Investigate and Pursue Millions of Dollars in FINRA Arbitration Claims for Investors
August 24, 2021
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NOTICE TO GPB CAPITAL INVESTORS: National Investor Fraud Law Firm KlaymanToskes Pursues Claim Seeking Over $1,000,000 for GPB Capital Losses, Continues to Investigate FINRA Arbitration Claims for Investors
August 23, 2021
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NOTICE TO HAENA PARK PHAETRA FUNDS INVESTORS: National Investor Fraud Law Firm KlaymanToskes Is Investigating Individual Securities Arbitration Claims in Excess of $100,000 in Light of the Recently Filed Class Action Complaint Against Interactive Brokers
August 20, 2021
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ATTENTION GPB CAPITAL ROYAL ALLIANCE INVESTORS: National Investor Fraud Law Firm KlaymanToskes Pursues Claim Seeking Damages Up to $5,000,000 Against Royal Alliance for GPB Capital Losses, Continues to Investigate FINRA Arbitration Claims for Investors
August 20, 2021
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GPB Capital Investor? The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate, Pursue Claims Against Full-Service Brokerage Firms on Behalf of GPB Capital Investors
August 18, 2021
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NOTICE TO GPB CAPITAL INVESTORS: The Securities Arbitration Law Firm of KlaymanToskes Continues to Investigate Claims on Behalf of Investors Who Purchased GPB Capital Through Advisors of TD AMERITRADE ADVISORDIRECT® Referral Program
August 17, 2021
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ATTENTION HJ SIMS BOCA RATON FL CUSTOMERS: KlaymanToskes Announces Investigation of HJ Sims’s Boca Raton, FL Branch in Light of the SEC’s Recent $250,000 Fine for Unsuitable Variable Interest Rate Structured Products Recommendations
August 11, 2021
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GPB CAPITAL TD AMERITRADE INVESTOR ALERT: KlaymanToskes Continues to Investigate TD Ameritrade’s ADVISORDIRECT® Referral Program for GPB Capital Investment Losses
August 10, 2021
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ATTENTION FELIX CHU NYLIFE SECURITIES CUSTOMERS: KlaymanToskes Announces Investigation of Former California-Based NYLife Securities Broker
August 09, 2021
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Invest in Energy 11 LP, Energy 12 LP, or Spirit of America Fund with David Lerner Associates? KlaymanToskes Continues Investigation
July 26, 2021
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VXX Investor Through UBS? KlaymanToskes Investigates Firm’s VXX Sales Practices in Light of Recent SEC Settled Action
July 20, 2021
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Adam Belardino, Ex-MML Investors Services Rep., Named In FINRA Complaint
July 19, 2021
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Securities America Advisors Fined Regarding Supervisory Failures and Ex-Broker Hector May
July 16, 2021
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FINRA Suspends Former Merrill Lynch Broker Scott Ryland Mathews for Early Rollovers of Unit Investment Trusts
July 06, 2021
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FINRA Suspends Merrill Lynch Broker Kelly Feehrer for Early Rollovers of Unit Investment Trusts
July 06, 2021
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NOTICE TO CLIENTS OF KEVIN MCCALLUM WITH LPL FINANCIAL: KlaymanToskes Commences Investigation of Former LPL Broker Kevin McCallum in Light of FINRA Suspension
July 05, 2021
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FINRA Orders Historic Financial Penalty Against Robinhood Financial LLC for Systemic Supervisory Failures
July 01, 2021
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FINRA Fines Independent Financial Group $200,000 for Failure to Supervise Alternative Investment Recommendations
June 30, 2021
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Unit Investment Trust Early Rollovers at Merrill Lynch Prompt Millions in FINRA Fines
June 26, 2021
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NOTICE TO CLIENTS OF JEFFREY DIXSON WITH GPB CAPITAL: KlaymanToskes Investigates Former Madison Avenue Securities Broker Jeffrey Dixson Regarding Unsuitable GPB Capital Recommendations
June 22, 2021
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NORTHSTAR FINANCIAL SERVICES (Bermuda) INVESTMENT RECOVERY: KlaymanToskes Investigates Investor Losses
June 21, 2021
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Former LPL Financial Advisor Paul McGonigle Investigation
June 15, 2021
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LORDSTOWN MOTORS CORP CLASS ACTION ALERT: Securities Law Firm KlaymanToskes Comments on Recent Class Action Lawsuit in Electric Vehicle Truck Manufacturer
March 22, 2021
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FINRA Fines VALIC Financial Advisors $350,000 for Failure to Supervise Variable Annuity Sales Practices
March 19, 2021
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FINRA Fines Cetera $1 Million for Failure to Supervise Private Securities Transactions in Client Accounts
February 26, 2021
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FINRA Suspends Madison Avenue Securities Broker for Mutual Fund Sales Practice Violations
February 11, 2021
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Stanford Law School Cornerstone Research Report Released with New Developments for IPOs and SPACs
February 05, 2021
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FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded and Fined $350,000 for Failing to Reasonably Supervise Recommended Securities Transactions and Other Violations
January 04, 2021
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KlaymanToskes Investigates JP Morgan in Light of OCC $250 Million Civil Money Penalty Against JP Morgan Chase Bank, N.A. for Inadequate Supervision of Investment Advisory Business
December 03, 2020
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