DID BRETT ALLEN RUTHERFORD CAUSE YOU INVESTMENT LOSSES?
Brett Rutherford was recently fired from Capital Investment Group, Inc following allegations of breaching multiple FINRA rules, regulations, and firm policies.
Who is Brett Rutherford formerly with Capital Investment Group, Inc.?
Brett Rutherford (CRD #4001310) who was formerly registered as a broker with Capital Investment Group, Inc. and located in Morehead City, North Carolina, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Brett Rutherford Employment History and Termination
Brett Allen Rutherford has over 20 years of experience in the securities industry, having worked for multiple firms, including Capital Investment Group, Inc. (2015–2024), Cape Fear Securities, Inc. (2011–2015), and Summit Brokerage Services, Inc. (2005–2011).
He has passed five industry exams, including Series 7, Series 24, and Series 63, and he held licenses in several states.
On December 6, 2024, Mr. Rutherford’s was terminated by Capital Investment Group following accusations of violating firm policies and FINRA regulations, firm policies, and failing to meet compliance standards. He is not currently registered with any securities firm.
Negative Disclosures Summary
Four disclosures were noted on Brett Allen Rutherford’s report:
- Employment Termination:
- Firm: Capital Investment Group, Inc.
- Date: December 6, 2024.
- Allegation: Breach of FINRA rules, regulations, and firm policies.
- Customer Dispute 1:
- Date: February 12, 2024.
- Complaint: Breach of fiduciary duty, negligence, and misrepresentation related to GWG Holdings investments.
- Outcome: Settled for $275,000, with $100,000 contributed by Mr. Rutherford.
- Customer Dispute 2:
- Date: July 21, 2022.
- Complaint: Unsuitable investments in GWG Holdings.
- Outcome: Closed with no action as of June 26, 2024.
- Customer Dispute 3:
- Date: December 4, 2024.
- Allegations: Breach of fiduciary duty, negligence, misrepresentation, and fraud.
- Alleged Damages: $334,084.
- Status: Pending under FINRA Case No. 24-02553
Brett Rutherford Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Brett Rutherford is a red flag which should put all current and former customers of Brett Rutherford at Capital Investment Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Brett Rutherford engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Capital Investment Group, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Capital Investment Group, Inc. Due To Brett Rutherford
If you have questions about Capital Investment Group, Inc. and/or Brett Rutherford and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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