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 […]
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Capital Investment Group Broker Caught Selling Away
January 03, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments