Capital Investment Group

There are Recent Customer Complaints with Broker Eugene Thompson in Firm Capital Investment Group, INC.

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Thompson (Thompson), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 $444,000.00 on August 13, 2025.

Clients invested in GWG Holdings L-Bonds. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022., The Statement of Claim alleges breach of fiduciary duty, violations of NC Securities Act, constructive fraud, negligence, gross negligence, vicarious liability, and negligent supervision and retention.

There are Recent Customer Complaints with Broker Joseph Beam in Firm Capital Investment Group, INC.

October 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Beam (Beam), previously associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Beam 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 $100,000.00 on August 14, 2025.

GWG Holdings, Inc. filed for Chapter 11 bankruptcy on April 20, 2022. Relative to specific investments made by clients, claims included breach of written contract, breach of fiduciary duty, failure to supervise, misrepresentations and omissions; violation of FINRA Rules; violation of federal securities laws, violation of North Carolina and South Carolina Securities Act, and; violation of Best Interest Obligations (Reg BI).

There are Recent Customer Complaints with Broker Kenneth Davis in Firm Capital Investment Group, INC.

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Davis (Davis), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $13,000.00 on September 02, 2025.

The client believed that the registered representative failed to inform him that the cash value of a Variable Universal Life contract was being reduced to cover premiums. As a result, the prior cash values were exhausted, and a policy lapse was imminent. The client claimed that, had he been aware, he would have surrendered the policy and received the cash value. Effective date of policy was 12/22/1998. The representative’s current firm, Capital Investment Group, Inc., was not a party to the complaint, as the contract was sold at the representative’s prior firm.

There are Recent Customer Complaints with Broker Joseph Jackson in Firm Capital Investment Group, INC.

October 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Jackson (Jackson), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 $159,000.00 on September 15, 2025.

Clients invested in GWG Holdings L-Bonds and two annuity products. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. The Statement of Claim alleges breach of fiduciary duty, negligence & Regulation Best Interest.

There are Recent Customer Complaints with Broker Timothy Hucks in Firm Capital Investment Group, INC.

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Hucks (Hucks), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hucks 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 $99,000.00 on November 07, 2022.

[REDACTED] has never had an account with Capital Investment Group, Inc. Instead, she established an account through Rising Tide, Inc., a state-registered investment advisor. Timothy C. Hucks, President of Rising Tide, Inc., is a registered representative of Capital Investment Group, Inc. \<char_lb_r>\, \<char_lb_r>\, The allegation, per the Statement of Claim, an investment, in what is presumed to be GWG Holdings, Inc., was unsuitable in nature.

Broker Larry Stringer in Capital Investment Group, INC. Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Stringer (Stringer), previously associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stringer 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 $50,000.00 on November 07, 2022.

Product was unsuitable in nature.

There are Recent Customer Complaints with Broker Joseph Beam in Firm Capital Investment Group, INC.

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Beam (Beam), previously associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Beam 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 $200,000.00 on August 04, 2025.

Client invested in GWG Holdings L-Bonds and two annuity products. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022., The Statement of Claim alleges unsuitable recommendations, and violations of Regulation Best Interest.

There are Recent Customer Complaints with Broker Joseph Jackson in Firm Capital Investment Group, INC.

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Jackson (Jackson), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 $25,000.00 on August 08, 2025.

Client invested in GWG Holdings L-Bonds and two annuity products. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022., The Statement of Claim alleges breach of fiduciary duty, negligence & Regulation Best Interest.

There are Recent Customer Complaints with Broker Cort Meinelschmidt in Firm Capital Investment Group, INC.

September 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $1,000,000.00 on May 18, 2023.

Relative to a purchase transaction in Hard Rock 2014 Drilling Program, client alleges breach of fiduciary duty, on the part of the Registered Representative, Capital Investment Group, Inc., and an Investment Adviser Representative, who had absolutely no relation to the broker/dealer, in any capacity. The transaction date was 09/13/2013.\<char_lb_r>\, \<char_lb_r>\, The defendants also included Sentinel Capital Solutions, Inc., a Registered Investment Adviser owned by the Registered Representative.

There are Recent Customer Complaints with Broker Naomi Johnson in Firm Capital Investment Group, INC.

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Naomi Johnson (Johnson), previously associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $10,000.00 on September 20, 2022.

The two purchases of GWG Holdings, Inc. made by [REDACTED], which are the subject of the statement of claim, were: $10,000 in March, 2019 and $20,000 in June, 2020. Naomi Johnson was her representative only on the $10,000 purchase in March, 2019, prior to her retirement from Capital Investment Group, Inc.