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Kelly Gene Richards, of Phoenix, Arizona, a stockbroker formerly registered with Capital Investment Group, Inc., has been named in a customer initiated investment related arbitration claim on June 27, 2016, in which customers collectively requested $650,000.00 in damages based upon allegations that Richards breached his fiduciary duties to the customers, negligently managed the customers’ investment accounts, and fraudulently concealed information regarding the risks associated with customers’ investments in limited liability company interests.
Richards’ registration with Capital Investment Group, Inc. was terminated on April 7, 2015. Since April 22, 2015, he has been registered with First Allied Securities, Inc.
Guiliano Law Group
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