Last Updated: August 2025 (Boone, NC)
Seth Andrew Nannini Investigation Summary
Here’s what you need to know about Boone, NC stockbroker Seth Andrew Nannini:
- Name: Seth Andrew Nannini
- Current Employer: Capital Investment Group, Inc.
- Prior Employers: MML Investors Services, Equity Services, Veravest Investments
- Function: Stockbroker / Financial Advisor
- Primary Location: Boone, NC
- CRD Number: 4406510
- Can Seth Andrew Nannini be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
- Highest Settlement or Award: $60,000
- Six Customer Disputes Settled Involving GWG Bonds
If you’ve sustained damages from Mr. Nannini, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Seth Andrew Nannini As Your Stockbroker?
Six customers of Capital Investment Group, Inc. have settled FINRA arbitrations alleging that Seth Nannini breached his fiduciary duty, was negligent, made misrepresentations, and his firm failed to supervise him in the sale of GWG bonds. More than $225,000 was paid to resolve those cases
In 2018 FINRA found that Nannini participated in sales of private securities of a biotech manufacturing company totaling $291,5000 without providing written notice to his firm. FINRA fined him $7,500 and suspended him for four months.
[LEARN MORE]:
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Allegations of Broker Misconduct Against Seth Andrew Nannini
Allegations
Customers of Seth Andrew Nannini have alleged the following wrongdoing in connection with the handling of customer accounts:
- Breach of fiduciary duty
- Negligence
- Misrepresentation and omission of material facts
- Failure to supervise
- Sale of unregistered securities (GWG Bonds)
Recover Your Investment Losses Now With Rex Securities Law
[LEARN MORE]: Investigations of other Capital Investment Group brokers
If you have suffered investment losses in an account handled by Seth Andrew Nannini, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.