Capital Investment Group

Broker Wayne Hill in Capital Investment Group, INC. Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Hill (Hill), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 $277,000.00 on September 20, 2022.

The complaint listed purchases a total of $277,000 of GWG Holdings, Inc. from October, 2019 to March, 2021. A number of transactions, totaling $127,000, were purchased by [REDACTED] Farms and [REDACTED], who were not named plaintiffs in the complaint. [REDACTED] was the only named plaintiff for whom a transaction matched in name, who purchased $150,000 of GWG Holdings, Inc. in June, 2020.

Broker Eugene Thompson in Capital Investment Group, INC. Firm Has Customer Complaint

August 5, 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 $224,000.00 on April 17, 2025.

Relative to a purchase of GWG L-Bonds by the clients, GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. Claims made by clients included breach of fiduciary duty, fraudulent misrepresentation, violations of the North Carolina Security Act, constructive fraud, negligence by CIG, and negligent supervision and retention by CIG.

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

July 29, 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 $224,000.00 on April 17, 2025.

Relative to a purchase of GWG L-Bonds by the clients, GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. Claims made by clients included breach of fiduciary duty, fraudulent misrepresentation, violations of the North Carolina Security Act, constructive fraud, negligence by CIG, and negligent supervision and retention by CIG.

There are Recent Customer Complaints with Broker Brett Rutherford in Firm Capital Investment Group, INC.

July 26, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Seth Nannini in Firm Capital Investment Group, INC.

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Nannini (Nannini), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nannini 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 $80,000.00 on May 30, 2025.

Relative to a purchase of GWG Holdings L-Bonds by the client, GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022.

There are Recent Customer Complaints with Broker David Wilke in Firm Capital Investment Group, INC.

July 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wilke (Wilke), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilke 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 $300,000.00 on October 09, 2023.

Client alleges breach of fiduciary duty, negligence, breach of contract, fraud, and negligent supervision related to sales of GWG L-bonds. GWG filed for Chapter 11 reorganization on 04/20/2022.

There are Recent Customer Complaints with Broker Stephen Bush in Firm Capital Investment Group, INC.

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 18, 2024.

Per the Form U5 filed by LPL Financial, the customers allege that investments made in 2014 were unsuitable for their father’s investment objectives and risk tolerance.

Broker Joseph Eades in Capital Investment Group, INC. Firm Has Customer Complaint

May 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Eades (Eades), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Eades 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 $114,000.00 on July 18, 2024.

GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. Complaint alleges unsuitable recommendations, misrepresentation and omissions of material fact, breach of contract, breach of fiduciary duty and, negligence and gross negligence related to an investment in GWG L-Bonds.\, \, On 08/12/2024, an amended Statement of Claim was filed by plaintiffs’ counsel, increasing the damage amount from $82,000 to $114,000. The amendment was not known to the firm until 11/05/2024, at which time a Form U4 amendment was filed to state the new amount.

Broker Craig Mcdaniel in Capital Investment Group, INC. Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Mcdaniel (Mcdaniel), currently associated with Capital Investment Group, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Mcdaniel 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 $42,000.00 on April 26, 2024.

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.

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

May 2, 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 3 disclosable events. These events include 3 customer complaints, alleging that Jackson 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 $100,000.00 on May 21, 2024.

The client invested in GWG Holdings L-Bonds in 2018. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. The complaint alleged breach of fiduciary duty, negligence and “REG BI”.