Capital Investment Group

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.

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.