Articles Tagged with Eugene Thompson

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 $444,000.00 on August 13, 2025.

Clients invested in GWG Holdings L-Bonds. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022., The Statement of Claim alleges breach of fiduciary duty, violations of NC Securities Act, constructive fraud, negligence, gross negligence, vicarious liability, and negligent supervision and retention.

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.

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.

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 5 disclosable events. These events include 5 customer complaints, 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 $350,000.00 on September 03, 2024.

Relative to specific investments made by clients, claims included unsuitability, breach of fiduciary conduct, negligence/gross negligence, negligent misrepresentation, intentional misrepresentation/omission and, breach of contract.