The allegations read: Carter worth was a subject of the customer's complaint against his member firm that asserted the following causes of action: breach of fiduciary duty, misrepresentation, suitability, unauthorized trading, failure to supervise, negligence, and violation of finra rules. The causes of action related to claimant's allegations that respondent executed unauthorized trades in claimant's accounts and invested claimant's accounts in unsuitable investments, including ishares russell 2000 index puts and calls, proshares trust pshs short s&p 500 etfs, and the global chartist fund, llc.
