The allegations read: Lipscomb was a subject of the customer's complaint against his member firm that asserted the following causes of action: violation of finra rules 2010, 2020, 2090, 2111, 2210, and 3110; negligence; gross negligence; negligent misrepresentation/omission; negligent hiring; negligent retention; negligent supervision; breach of respondent's duty of good faith and fair dealing; breach of contract; breach of respondent's fiduciary duty; aiding and abetting a breach of fiduciary duty; fraud; aiding and abetting fraud; a violation of section 10b and rule 10b-5 of the securities exchange act of 1934; aiding and abetting a violation of section 10b and rule 10b-5; a violation of section 206 of investment advisers act of 1940; and aiding and abetting a violation of section 206 of investment advisers act of 1940.
