The allegations read: Thomas gresham was a subject of the customer's complaint against his member firms that asserted the following causes of action in the statement of claim and amended statement of claim: violation of the missouri securities act rsmo. \\u00a7409.411; breach of fiduciary duty; fraud, including unsuitability, misrepresentations and omissions; negligence and negligent misrepresentation, including failure to supervise; breach of contract; and violations of the securities and exchange act of 1934, including section 10(b) and rule 10b-5 promulgated thereunder. The causes of action related to claimant's allegation that respondents over-concentrated claimant's accounts in energy and limited partnerships, and other speculative and aggressive growth securities, contrary to claimant's investment goals.
