The allegations read: Kodi hermann was named in a customer complaint that asserted the following causes of action: violation of indiana state securities law, breach of fiduciary duty, violation of finra rules, negligence, breach of contract, and respondeat superior. The causes of action related to claimant's allegation that respondents mismanaged her accounts. Claimant further alleged that respondents failed to comply with her instructions to sell all of her securities, including conatus pharmaceuticals inc., fireeye, inc., and crossroads systems, inc., and to cease further management.
