Securities Lawyers Blog
Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Capital Investment Group, Inc.. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.
Capital Investment Group is a fully disclosed introducing broker-dealer that provides securities brokerage and investment services to individual investors, with an insurance division and affiliated investment advisory firms including Capital Investment Counsel. Incorporated in North Carolina in 1984 and headquartered in Raleigh, the firm is licensed across the contiguous United States and Alaska and conducts much of its business outside North Carolina through independent affiliated professionals.
Capital Investment Group, Inc. – By the Numbers:
- CRD #: 14752
- Regulatory Events: 7
- Arbitration Events: 3
- Broker Employees: 124
Capital Investment Group, Inc. – In the News:
FINRA v. Capital Investment Group, Inc. (Case #2019061213101) – Between May 4, 2018, and June 29, 2018, CIG negligently failed to tell nine investors in two offerings related to GPB Capital Holdings, LLC (GPB Capital) that the issuers failed to timely make required filings with the Securities and Exchange Commission, including filing audited financial statements. By virtue of the foregoing, CIG violated FINRA Rule 2010.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.