The allegations read: Lipscomb was a subject of the customer's complaint against ameriprise financial services, inc. That asserted the following causes of action: violations of finra's rules, including, but not limited to, rule 2010, rule 2020, rule 2090, rule 2111, rule 2210, and rule 3110; negligence; gross negligence; negligent misrepresentation/omission; negligent hiring; negligent retention; negligent supervision; breach of the duty of good faith and fair dealing; breach of contract; breach of fiduciary duty; aiding and abetting a breach of fiduciary duty; fraud; aiding and abetting fraud; violation of section 10b and rule 10b-5 of the securities exchange act of 1934, 15 u.s.c. \\u00a7 78j(b) and 17 c.f.r. \\u00a7 240.10b-5; aiding and abetting a violation of section 10b and rule 10b-5 of the securities exchange act of 1934, 15 u.s.c. \\u00a7 78j(b) and 17 c.f.r. \\u00a7 240.10b-5; violation of section 206 of investment advisers act of 1940, 15 u.s.c. \\u00a7 80b-6; aiding and abetting a violation of section 206 of investment advisers act of 1940, 15 u.s.c. \\u00a7 80b-6.; misrepresentations/non-disclosures; omission of facts; suitability; and failure to supervise.
