The allegations read: Clyde mick jones was named in a customer complaint that asserted the following causes of action: violations of texas securities act, violations of equitable principles of trade and fair dealing, supervision violations, breach of fiduciary duty, negligent training and supervision, and participatory and vicarious liability. The causes of action relate to claimant's allegation that respondents made unsuitable investments, concentrating claimant's portfolio in small cap and penny stocks. Claimant asserted that jones failed to rebalance claimant's portfolio to reduce risk and volatility despite multiple requests.
