Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tammie Farrell (Farrell), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Farrell 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 $50,000.00 on June 06, 2025.
GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. Relative to specific investments made by clients, claims include violations of federal securities laws, violations of SC Securities Act, violation of NC Securities Act, breach of contract, common law fraud, breach of fiduciary duty and, negligence and gross negligence. \, The claimants on the arbitration were comprised of Junior R. Roberts, the client of this representative, Tammie Farrell, as well as clients of another representative who is not associated with Ms. Farrell in any way. The alleged damage amount for Mr. Roberts, specifically, was $50,000. The damage amount for the other clients was $200,000.