Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Thompson (Thompson), currently associated with Capital Investment Group, Inc., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Thompson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $350,000.00 on September 03, 2024.
Relative to specific investments made by clients, claims included unsuitability, breach of fiduciary conduct, negligence/gross negligence, negligent misrepresentation, intentional misrepresentation/omission and, breach of contract.
