Securities Lawyers Blog
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.