Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tammie Farrell (Farrell), currently associated with Capital Investment Group, Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Farrell 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 December 10, 2024.
GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. Relative to specific investment+J184 made by clients, claims include violations of federal securities laws, violations of NC Securities Act, breach of contract, common law fraud, breach of fiduciary duty and, negligence and gross negligence.
