The allegations read: Transaction: purchase of 75,000 shares of (symbol)cien totalling $396,000 in march 2004. The customer alleges: failure to follow instructions in that the customer claims he authorized only a $200,000 investment amount; failure to follow instructions in that the rr did not place a stop loss order; and, that the rr did not manage the account according to the customer's investment goals. The firm settled with the customer.
