The allegations read: Raymond phillip kvalvog was a subject of the customer's complaint against his member firm that asserted the following causes of action in the statement of claim and in the amended statement of claim: violations of federal securities laws; violation of the north dakota unlawful sales or advertising practices act; violation of the north dakota securities act; breach of contract; common law fraud; breach of fiduciary duty; negligence; and gross negligence. The causes of action relate to the purchase of
numerous investments, including but not limited to: oasis petroleum, inc.; ritchie bros auctioneers, inc.; tcf financial corp.; arts-way mfg co., inc.; monsanto co new;
james river coal, inc.; intrepid potash, inc.; cnh global nv; bp plc spons adr; and pengrowth energy corp.
