Brett Rutherford Investigation
February, 2026 – Raleigh, NC
The FINRA records of Brett Rutherford, formerly a Capital Investment Group, Inc. broker, discloses a pending customer dispute and numerous settled customer disputes involving GWG Holdings Inc.. In additiom Rutherford discloses a termination from employment and a permanent bar from the industry by a securities regulator.
The Financial Industry Regulatory Authority (FINRA)Â is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 12/2024, a Capital Investment Group, Inc. customer complained that Rutherford had violated various firm and industry rules, breached his fiduciary duty and committed fraud causing damages of $334,084. This matter is currently pending in FINRA arbitration.
Nine customers have been paid settlements as a result of Rutherford’s recommendation to invest in GWG L-Bonds. Total settlements exceed $600,000.
In 12/2024 Rutherford was discharged by Capital Investment Group for breach of multiple FINRA rules as well as firm policy.
FINRA permanently barred Rughterford from acting as a broker in 2/2025 after he failed to provide documents and information requested by FINRA in connection with its investigation into the circumstances giving rise to a customer arbitration.
GWG L-BOND LOSSES?
For more information on GWG Holdings, see this link  and for more about issues with regulators over GWG investments.
Rutherford was been employed by Capital Investment Group, Inc. from 9/2015 until his discharge in 12/2024. He was affiliated with Rutherford Financial Group in Morehead City, NC.
If you have questions about an account handled by Brett Rutherford, call for a no charge consultation with an experienced securities attorney .
Firms We Have Pursued On Behalf of Our Clients
Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,  provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Investigations of other Capital Investment Group brokers
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