Brett 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 Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 7/2022, a Capital Investment Group, Inc. customer complained that two investments in GWG Holding, Inc., were unsuitable at the time the purchases were made and is seeking damages of $100,000.
GWG L-BOND LOSSES?
For more information on GWG Holdings, see this link and for more about issues with regulators over GWG investments, follow this link.
Rutherford has been employed with Capital Investment Group, Inc. since 9/2015, is affiliated with Rutherford Financial Group in Morehead City, NC.
If you have questions about an account handled by Brett Rutherford, call for a no charge consultation with an experienced securities attorney .
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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