The allegations read: Oliverio was a subject of the customer's complaint against his member firm and/or other named respondents that asserted the following causes of action: violation of the business conduct rule, finra rule 2010 (standards of commercial honor and principles of trade); violation of finra rule 2020 (use of manipulative, deceptive and other fraudulent devices); violation of finra rule 2111 (suitability); violation of finra rule 3260 (discretionary accounts); violation of finra rule 3110 (supervision); breach of fiduciary duty; breach of a broker's duty of reasonable care; breach of a broker's duty to supervise and ensure compliance with firm and industry rules; negligence; and fraud and deceit.
