Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Hucks (Hucks), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hucks 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 $99,000.00 on November 07, 2022.
[REDACTED] has never had an account with Capital Investment Group, Inc. Instead, she established an account through Rising Tide, Inc., a state-registered investment advisor. Timothy C. Hucks, President of Rising Tide, Inc., is a registered representative of Capital Investment Group, Inc. \<char_lb_r>\, \<char_lb_r>\, The allegation, per the Statement of Claim, an investment, in what is presumed to be GWG Holdings, Inc., was unsuitable in nature.