Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cecil Creasy (Creasy), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Creasy 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 $10,618.27 on July 29, 2024.
The client contended that he terminated the investment advisory relationship with the Representative in December, 2023, The Representative continued to manage the account until the client contacted the firm on July 29, 2024. The Representative denied receiving any instruction from the client to cease the advisory relationship. The firm refunded the investment advisory fees assessed on the account since December, 2023.