Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Nannini (Nannini), currently associated with Capital Investment Group, Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Nannini 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 $100,000.00 on May 21, 2024.
GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. Complaint alleges breach of fiduciary duty, negligence and negligent misrepresentation, breach of contract, failure to supervise, and negligence – violation of Regulation Best Interest, related to the clients’ investment in GWG L-Bonds.
