Tag Archives: Capital Investment Group Inc.

Capital Investment Group Broker Caught Selling Away

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://stockbrokerfraud.com/selling-away/unauthorized private securities transactions. Letter of Acceptance Waiver and […]

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Capital Investment Group Sued For Fraud

September 22, 2017  |   Posted by :   |   Breach of Fiduciary Duty, Stockbroker Fraud News   |   0 Comments

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 […]

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Carlton Associates Stockbroker Barred In Fraud Investigation

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 […]

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