The allegations read: Garza was a subject of the customer's complaint against his member firm and a bank that asserted the following causes of action: breach of contract and warranties; violation of texas state securities statutes; negligent supervision; violation of the texas business and commerce codes; violation of consumer protection statutes, negligent misrepresentations, unjust enrichment, and breach of duties; unsuitable investment recommendations and violations of finra rules; and vicarious liability.
