Jan 20, 2022

Douglas Bray of J.P. Morgan Securities, LLC

DID DOUGLAS M. BRAY CAUSE YOU INVESTMENT LOSSES? Douglas M. Bray with J.P. Morgan Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Douglas M. Bray with J.P. Morgan Securities, LLC? Douglas Bray (CRD #2907254) who is currently registered with J.P. Morgan Securities, LLC and located in Madison, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations.   Prior to J.P. Morgan Securities LLC, Douglas Bray has associated with6other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. J.P. Morgan Securities, LLC Broker Misconduct In his career, Douglas Bray has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. Both of the complaints were recently denied by Mr. Bray and his employer, and to date, the customers have not taken any further action. Allegations Against Douglas Bray A sample of the allegations made in the FINRA reported customer complaints for investment losses are as follows: The client alleged unsuitable recommendations in connection with a managed account. The client alleged misappropriation of funds. Douglas Bray Red Flags & Your Rights As An Investor Of course, Douglas Bray did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Douglas Bray at J.P. Morgan Securities, LLC alert to review carefully the activity and performance of their accounts and question whether Douglas Brayhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at J.P. Morgan Securities, LLC about Douglas Bray such a short period of time also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At J.P. Morgan Securities LLC   If you have questions about J.P. Morgan Securities, LLC and/or Douglas Bray and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Edward Delaney of Edward Jones

DID EDWARD M. DELANEY CAUSE YOU INVESTMENT LOSSES? Edward M. Delaney with Edward Jones Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Edward M. Delaney with Edward Jones? Edward Delaney (CRD #2946899) who is currently registered with Edward Jones and located in Hillsboro, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Edward Jones is an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Edward Jones Broker Misconduct In his career, Edward Delaney has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Three of Edward Delaney’s 5 customer complaints were settled in favor of investors. The other 2 complaints were denied and the customer did not take any further action.  Allegations Against Edward Delaney A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Two clients separately alleged that the financial advisor did not liquidate his equities as instructed. Clients alleged that they, Edward Delaney misrepresented sales charges with respect to mutual fund transactions and engaged in the switching of mutual funds in their accounts without any reasonable basis. The client alleged that Edward Delaney “pushed” pushed him to invest in a different Putnam fund over his objections. Edward Delaney Red Flags & Your Rights as An Investor Of course, Edward Delaney did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Edward Delaney at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Edward Delaney has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Edward Jones also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Edward Jones If you have questions about Edward Jones and/or Edward Delaney and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Gabriel Gulotta of BBVA Securities, Inc

DID GABRIEL N. GULOTTA CAUSE YOU INVESTMENT LOSSES? Gabriel N. Gulotta with BBVA Securities, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Gabriel N. Gulotta with BBVA Securities, Inc.? Gabriel Gulotta (CRD #4740700) who is currently registered with BBVA Securities, Inc. and located in Galveston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to BBVA Securities, Inc., Gabriel Gulotta was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. BBVA Securities, Inc. Broker Misconduct In his career, Gabriel Gulotta has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both complaints were denied by BBVA Securities, Inc., and to date, the customers have not taken any further action. Allegations Against Gabriel Gulotta A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged that the financial advisor made unsuitable recommendations of the 1035 fixed index annuity exchange transaction. The customer alleged that Gabriel Gulotta misrepresented the features of the variable annuity investment made as part of a 1035 exchange transaction. Gabriel Gulotta Red Flags & Your Rights as An Investor Of course, Gabriel Gulotta did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Gabriel Gulotta at BBVA Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gabriel Gulotta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BBVA Securities, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At BBVA Securities Inc. If you have questions about BBVA Securities, Inc. and/or Gabriel Gulottaand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Emmett Johnson of LPL Financial, LLC

DID EMMETT ANDREW JOHNSON CAUSE YOU INVESTMENT LOSSES? Emmett Andrew Johnson formerly with LPL Financial, LLC Has 5 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Emmett A. Johnson formerly with LPL Financial, LLC? Emmett Johnson (CRD #2433014) who was formerly registered with LPL Financial, LLC and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to LPL Financial, LLC, Emmett Johnson was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.   Emmett Johnson was terminated by LPL Financial, LLC over concerns relating to his unit investment trust and mutual fund transaction sales practices. LPL Financial, LLC Broker Misconduct In his career, Emmett Johnson has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses.  Two of those customers file the arbitration claims against Emmett Johnson’s employer and himself and obtained arbitration awards in their favor. Two of Emmett Johnson’s 5customer complaints were settled by Pension Mark Financial Group, LLC in favor of investors. One customer complaint filed against Emmett Johnson’s former employer LPL Financial, LLC for investment losses caused by his alleged misconduct was denied by the firm and luckily for the firm the customer took no further action as it probably related to the unsuitable mutual fund transactions for which he was terminated. Allegations Against Emmett Johnson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged breach of fiduciary duty, negligence, misrepresentations, fraud unsuitable investment recommendations, and churning related to variable annuity and other stock transactions. The claimant alleged unsuitable investment recommendations, churning, and materials for the delay in the stocks, and annuities, and mutual fund transactions. The claimant alleged that Emmett Johnson gave them investment advice and made unsuitable recommendations. The customer alleged that Emmett Johnson had LPL Financial, LLC made unsuitable mutual fund investment recommendations. Emmett Johnson Red Flags & Your Rights as An Investor Of course, Emmett Johnson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags. These red flags should put all current and former customers of Emmett Johnson at LPL Financial, LLC on alert to review carefully the activity and performance of their accounts and question whether Emmett Johnson has engaged in any stockbroker misconduct that may have caused them investment losses. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at LPL Financial, LLC If you have questions about LPL Financial, LLC and/or Emmett Johnson and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Felipe Lopes of XP Investments US, LLC

DID FELIPE SEBE LOPES CAUSE YOU INVESTMENT LOSSES? Felipe Sebe Lopes with XP Investments US, LLC Has 3 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Felipe S. Lopes with XP Investments US, LLC? Felipe Lopes (CRD #6717350) who is currently registered with XP Investments US, LLC and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to XP Investments US, LLC, Felipe Lopes was associated with 6other investment advisory and brokerage firms in Brazil with a history of customer complaints and securities industry regulatory problems. XP Investments US, LLC Broker Misconduct In his career, Felipe Lopes has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. All of Felipe Lopes’ customer complaints were settled in favor of investors.  The firm settled those disputes in one case for the full amount of damages. Allegations Against Felipe Lopes A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged that Felipe Lopes recommended an unsuitable alternative investment. The client alleged that Felipe Lopes recommended an alternative investment without fully disclosing the risks, including the illiquidity of the investment recommended. Felipe Lopes Red Flags & Your Rights As An Investor Of course, Felipe Lopes did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Felipe Lopes at XP Investments US, LLC on alert to review carefully the activity and performance of their accounts and question whether Felipe Lopeshas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at XP Investments US, LLC in such a short period of time also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At XP Investments US, LLC   If you have questions about XP Investments US, LLC and/or Felipe Lopesand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Eric Rapczyk of National Securities Corporation

DID ERIC FRANCIS RAPCZYK CAUSE YOU INVESTMENT LOSSES? Eric Francis Rapczyk with National Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Eric F. Rapczyk with National Securities Corporation? Eric Rapczyk (CRD #4842264) who is currently registered with National Securities Corporation and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to National Securities Corporation, Eric Rapczyk was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. National Securities Corporation Broker Misconduct In his career, Eric Rapczyk has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. There are currently two pending customer complaints filed against Eric Rapczyk’s current employer National Securities Corporation for investment losses caused by his alleged misconduct. Allegations Against Eric Rapczyk A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged unauthorized trading in over-the-counter stocks in his account. To customers and separate arbitrations filed against Eric Rapczyk alleged that he made unsuitable recommendations to them to invest in private placements. Eric Rapczyk Red Flags & Your Rights as An Investor Of course, Eric Rapczyk did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Eric Rapczyk at National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Eric Rapczyk has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at National Securities Corporation in such a short period of time also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At National Securities Corporation If you have questions about National Securities Corporation and/or Eric Rapczyk and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Eladio Santiago of Cambridge Investment Research, Inc

DID ELADIO ARTURO SANTIAGO CAUSE YOU INVESTMENT LOSSES? Eladio Arturo Santiago Of Cambridge Investment Research, Inc. And Formerly UBS Financial Services, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Eladio A. Santiago with Cambridge Investment Research, Inc.? Eladio Santiago (CRD #3060628) who is currently registered with Cambridge Investment Research, Inc. and located in Fulton, Maryland is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cambridge Investment Research, Inc., Eladio Santiago was associated with UBS Financial Services Inc. and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services, Inc. Broker Misconduct In his career, Eladio Santiago has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Two of Eladio Santiago’s 3 customer complaints were settled by UBS Financial Services, Inc. in favor of investors. Allegations Against Eladio Santiago   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged unsuitable transactions in their accounts. Two claimants and separate arbitration proceedings alleged unsuitable investment recommendations and mismanagement of their accounts. Eladio Santiago Red Flags & Your Rights as An Investor Of course, Eladio Santiago did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Eladio Santiagoat Cambridge Investment Research, Inc. and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Eladio Santiagohas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Cambridge Investment Research, Inc.  And UBS Financial Services, Inc. If you have questions about Cambridge Investment Research, Inc., UBS Financial Services Inc., and/or Eladio Santiago and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Frederick Schiller of Morgan Stanley

DID FREDERICK A. SCHILLER CAUSE YOU INVESTMENT LOSSES? Frederick A. Schiller with Morgan Stanley Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Frederick A. Schiller with Morgan Stanley? Frederick Schiller (CRD #718987) who is currently registered with Morgan Stanley and located in Morristown, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Morgan Stanley, Frederick Schiller was associated with 6other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Frederick Schiller has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two customer complaints were denied by Morgan Stanley today, the customer has not taken any further action.  There is currently one pending customer complaint filed against Frederick Schiller’s current employer Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Frederick Schiller A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged that his instructions to Frederick Schiller to invest and say fixed income securities were not followed. The client alleged unauthorized trading involving the mutual fund. Claimants alleged that Frederick Schiller made unsuitable recommendations with respect to Puerto Rico municipal bond transactions. Frederick Schiller Red Flags & Your Rights as An Investor Of course, Frederick Schiller did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Frederick Schiller at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Frederick Schiller has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Morgan Stanley also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Morgan Stanley   If you have questions about Morgan Stanley and/or Frederick Schiller and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Evan Schottenstein of J.P. Morgan Securities

DID EVAN A. SCHOTTENSTEIN CAUSE YOU INVESTMENT LOSSES? Evan A. Schottenstein formerly with J.P. Morgan Securities LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Evan A. Schottenstein formerly with J.P. Morgan Securities LLC? Evan Schottenstein (CRD #4929175) who was formerly registered with J.P. Morgan Securities LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to J.P. Morgan Securities LLC, Evan Schottenstein was associated with Morgan Stanley and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Evan Schottenstein was terminated by J.P. Morgan Securities, LLC due to the trading activity for an account of the family member and the accuracy of records for that customer. J.P. Morgan Securities LLC Broker Misconduct In his career, Evan Schottensteinhas been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Three of those customer complaints were denied by his former employer’s.  There is currently one customer complaint filed against Evan Schottenstein’s former employer J.P. Morgan Securities LLC for investment losses caused by his alleged misconduct in a family member’s account.   This is the customer for which J.P. Morgan Securities, LLC terminated his employment.  This family member is seeking losses in excess of $10 million.  The arbitration is ongoing. Allegations Against Evan Schottenstein A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged unauthorized trading involving the sale of securities and a client’s accounts and then use of the proceeds to invest in a private placement. The client alleged that Evan Schottenstein misrepresented certain auction rate securities investments made in his account. The client alleged unsuitable investment recommendations with respect to a 1035 variable annuity exchange transaction. Evan Schottenstein’s grandmother alleged unauthorized and unsuitable transactions and that he signed documentation regarding investment on her behalf without her knowledge.  The transactions involved common and preferred stocks, structured notes in a private equity fund. Evan Schottenstein Red Flags & Your Rights As An Investor Of course, Evan Schottenstein did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Evan Schottenstein at J.P. Morgan Securities LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Evan Schottenstein has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at J.P. Morgan Securities LLC and Morgan Stanley also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at J.P. Morgan Securities LLC If you have questions about J.P. Morgan Securities LLC, Morgan Stanley, and/or Evan Schottenstein and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Jose Casellas of Merrill Lynch, Pierce, Fenner & Smith Inc.

DID JOSE ALBERTO CASELLAS SR CAUSE YOU INVESTMENT LOSSES? Jose Alberto Casellas Sr with Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Jose A. Casellas Sr with Merrill Lynch, Pierce, Fenner & Smith Incorporated? Jose Casellas (CRD #2638747) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Jose Casellas was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Misconduct In his career, Jose Casellas has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both customer complaints filed against Jose Casellas’ current employer Merrill Lynch, Pierce, Fenner & Smith Incorporated for investment losses caused by his alleged misconduct are pending. Allegations Against Jose Casellas   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged misrepresentations in unsuitable investment recommendations of Puerto Rico bonds. The customer alleges misrepresentation, unsuitable investment recommendations and unauthorized trading related to municipal bonds. Jose Casellas Red Flags & Your Rights As An Investor Of course, Jose Casellas did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jose Casellas at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jose Casellas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Jose Casellas and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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