Securities Lawyers Blog
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.