Eugene Cebron Thompson IV (also known as Bron Thompson), of Dunn, North Carolina, a stockbroker registered with Capital Investment Group Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $200,000.00 in damages based upon allegations that Thompson breached his fiduciary duties,…
Tammie Lyn Farrell (also known as Tammie Burk and Tammie Brown), of Franklin, North Carolina, a stockbroker registered with Capital Investment Group Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that Farrell committed fraud,…
Anthony John Pitta of Melville, NY, a stockbroker registered with Capital Investment Group Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that Pitta made unsuitable recommendations, breached his fiduciary duties, and made misrepresentations and omissions of material fact…
Mercer Hicks III (also known as Toby Hicks III) of Charlotte North Carolina a stockbroker formerly registered with Capital Investment Group and Southeast Investments NC Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Extended Hearing Panel Decision containing findings that Hicks made…
Ferrell Lee Rollins Jr of Rocky Mount North Carolina a stockbroker formerly employed by Capital Investment Group Inc. has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Rollins borrowed funds from an elderly Capital Investment Group customer. Letter…
Seth Andrew Nannini of Charlotte North Carolina a stockbroker currently registered with Capital Investment Group has been fined $7,500.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Nannini engaged in https://securitiesarbitrations.com//selling-away/unauthorized private securities transactions. Letter of Acceptance Waiver and…
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…
Randy Warren Burke of Hickory, North Carolina, a stockbroker with Synergy Investment Group, LLC, Capital Investment Group, Inc., and most recently Carlton & Associates, Inc., was permanently barred in all capacities from associating with any Financial Industry Regulatory Authority (FINRA) member after consenting to findings that he participated in private securities transactions that were not…