Capital Investment Group Inc.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070099298-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Capital Investment Group, Inc., Respondent Broker-Dealer CRD No. 14752 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Capital Investment Group, Inc. (the ''firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2007009929801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/22/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061213101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Capital Investment Group, Inc. (Respondent) Member Firm CRD No. 14752 Pursuant to FINRA Rule 9216, Respondent Capital Investment Group, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2019061213101data-portal.finra.org finra.org

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