The allegations read: David wachsman was a subject of the customer's complaint against his member firm that asserted the following causes of action: breach of fiduciary duties; fraud; negligence and/or gross negligence; breach of contract and breach of the implied covenant of good faith and fair dealing; unjust enrichment; violation of industry rules; violation of the securities exchange act of 1934 and rule 10b-5; suitability; and failure to supervise
