Articles Tagged with Brett Rutherford

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Rutherford (Rutherford), previously associated with Capital Investment Group, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Rutherford recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $88,000.00 on May 02, 2025.

Client invested in GWG Holdings L-Bonds. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. No Statement of Claim filed by client or opposing counsel.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Rutherford (Rutherford), previously associated with Capital Investment Group, Inc., has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Rutherford recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 28, 2025.

Without admitting or denying the findings, Rutherford consented to the sanction and to the entry of findings that he failed to provide documents and information requested by FINRA in connection with its investigation into the circumstances giving rise to a customer arbitration.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Rutherford (Rutherford), previously associated with Capital Investment Group, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rutherford recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $334,084.00 on December 04, 2024.

Accusations of breach of multiple FINRA rules and regulations, as well as firm policies. Claims include breach of fiduciary of duty, negligence, negligent misrepresentation, negligent supervision, breach of contract, and fraud and deceit.