Ashley Woodard Investigation May 2023 – Greenville/ Greer , South Carolina According to publicly available records Ashley Charles Woodard , a stockbroker previously employed by VOYA Financial, discloses 16 prior customer dispute…
read moreEugene Cebron “Bron” Thompson Investigation March 2023– Wallace, NC According to publicly available records, Eugene “Bron” Thompson, a broker with Capital Investment Group, discloses a customer dispute related to GWG…
read moreJoseph Beam Investigation March 2023- Raleigh, NC According to publicly available records Joseph Beam, a broker employed by Capital Investment Group, Inc., discloses three customer disputes. The Financial Industry Regulatory…
read moreBrett Rutherford Investigation March, 2023 – Raleigh, NC The FINRA records of Brett Rutherford, a Capital Investment Group, Inc. broker, disclose a pending customer dispute involving GWG Holdings Inc.. The Financial Industry…
read moreAnthony Pitta Investigation September 2022- Melville, NY According to publicly available records, Anthony J. Pitta, a financial advisor currently employed by Capital Investment Group, discloses a currently pending customer dispute. The Financial…
read moreOctober 2020-Greenville, S. Carolina According to publicly available records Pamela Jo Lizanich (Pamela Jo Kramer) , a stockbroker who is currently registered with NY Life Securities, disclose 4 currently pending…
read moreAugust 2018- The FINRA records of Kelly Gene Richards , (CRD 4918409), a stockbroker who is currently employed by First Allied Securities, disclose a prior termination from employment. The Financial Industry Regulatory Authority…
read moreMarch 2019-Scottsdale, AZ The FINRA records of Robert S. Graham , a stockbroker who is currently unregistered and who last was employed by First Allied Securities, disclose a regulatory event and a…
read more1/25/2016-Hickory, North Carolina Rex Securities Law is investigating former Calton & Associates broker Randy W. Burke. According to his FINRA brokercheck report, Burke was barred from the securities industry October 2015, to resolve…
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