The allegations read: This arbitration filing named all publicly disclosed senior officers and directors of mutual securities, inc., and notably did not name the unaffiliated registered investment adviser with whom plaintiff had contracted to manage plaintiff's accounts. Allegations include breach of contract, breach of duty, negligence, misrepresentation and omission, and violations of various finra rules and federal and state laws. The plaintiff had maintained his independently managed accounts with mutual securities, inc. From 2008 to 2017.
