Securities Lawyers Blog
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.