FINRA barred securities broker Brett Allen Rutherford [CRD: 4001310, Morehead City, North Carolina], and investors complaint about him, based on publicly available information found on FINRA BrokerCheck. Brett Rutherford worked for Capital Investment Group Inc. from September 18, 2015 to December 6, 2024. See the following information to find out more about the disclosures involving Brett Rutherford.
Evidently, a client filed a complaint about Brett Rutherford. Supposedly, Rutherford recommended GWG L Bonds. Due to GWG Holdings Inc.’s bankruptcy filing, the client allegedly incurred damages relating to the direct investments. Consequently, on July 1, 2025, Capital Investment Group Inc. settled this matter by paying the client $17,260.13 in damages.
In addition, a client of Capital Investment Group Inc. took aim at Brett Rutherford’s sales practices, according to a complaint. It appears that Rutherford advised the client to buy GWG investments. Therefore, Capital Investment Group Inc. opted to settle the matter on July 7, 2025, by paying the client $51,748.96.
Additionally, a client filed a complaint about Brett Rutherford. Allegedly, Rutherford recommended L Bonds that poorly performed. Consequently, on June 27, 2025, Capital Investment Group Inc. settled this matter by paying the client $17,123.39 in damages.
Also, a client of Capital Investment Group Inc. contested Brett Rutherford’s sales practices in FINRA Arbitration No. 25-00422 on February 28, 2025. Mainly, the client alleged that Rutherford breached his fiduciary duty, was negligent, made misrepresentations, breached a contract, and failed to supervise certain securities brokers. Therefore, the client seeks compensation from Capital Investment Group Inc. or Rutherford in the amount of $200,000.00 in this ongoing matter.
On February 28, 2025, FINRA sanctioned Brett Rutherford by permanently barring him from associating with any FINRA member in all capacities. This comes after Rutherford’s failure to provide documents and information to the regulator concerning a client arbitration. Though he acknowledged receiving the regulator’s request, Rutherford informed FINRA he would not comply, violating Rules 8210 and 2010. The sanction was finalized through an Acceptance, Waiver, and Consent (AWC).
Do you need clarification on any investment losses relating to Brett Rutherford? If so, reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer about a potential recovery. Soreide Law Group is experienced at recovering losses for investors throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. Rutherford and brokerage firms Rutherford worked for deny allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
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