The allegations read: Thomas herbert bock was named in a customer complaint that asserted the following causes of action: breach of contract; breach of the duty of loyalty; breach of the duty to deal fairly and honestly with claimants; breach of the duty of full disclosure; breach of the duty to act in good faith and in claimants' best interest; negligence; fraud by misrepresentation and omission; failure to supervise and control; violation of federal & state securities laws; violation of statutory & common law; and violation of finra rules. The causes of action relate to unspecified securities.
