EDWARD JOHN SABO

EDWARD JOHN SABO is currently employed as a Broker and/or Investment Adviser at CAPITAL INVESTMENT GROUP, INC. located at 11019 TOURNAMENT BLVD, STE 201, MURRELLS INLET, SC, 29576.

EDWARD JOHN SABO has worked at CAPITAL INVESTMENT GROUP, INC. since December 12, 2016

Disclosure History

EDWARD JOHN SABO has 3 Disclosure Event(s).

Date: December 06, 2016
Category: Employment Separation After Allegations
Firm Name: RAYMOND JAMES FINANCIAL SERVICES, INC.
Termination Type: Discharged
Allegations: DISCHARGED AFTER POSTING ON INVESTMENT-RELATED WEBSITE WITHOUT OBTAINING PRIOR APPROVAL FROM THE FIRM

Date: June 25, 2008
Category: Customer Dispute
Allegations: SC RESIDENT WRITES THAT SHE DID NOT REALIZE THE RISK INVOLVED IN HER ACCOUNT AND WANTED FUNDS INVESTED IN A CONSERVATIVE MANNER. CLIENT DOES NOT SPECIFY LOSSES, BUT CLAIM REASONABLY ESTIMATED TO BE IN EXCESS OF $5000.
Damage Amount Requested: $5,000.00
Broker Comment: CLAIM DENIED BY FIRM, AS THE COMPLAINT AROSE OUT OF DEVELOPMENTS WITH A MUTUAL FUND, THE MANAGEMENT OF WHICH WAS BEYOND THE FA'S CONTROL.

Date: March 10, 2008
Category: Customer Dispute
Allegations: SOUTH CAROLINA CLIENT EXPRESSES THAT HE FEELS THAT HIS REQUESTS WERE NOT FOLLOWED RESULTING IN $52,000 IN LOSSES IN HIS 4/18/2007 PURCHASES OF THE FOLLOWING: (I) 3,153 CLASS A SHARES OF FRANKLIN STRATEGY INCOME FUND FOR $33,517, (II) 36,205 CLASS A SHARES OF FRANKLIN INCOME FUND FOR $101,600, (III) 3,578 CLASS A SHARES OF MUTUAL SHARES FOR $99,901 AND (IV) 3,762 CLASS A SHARES OF TEMPLETON GROWTH FUND FOR $102,329.
Damage Amount Requested: $52,000.00
Broker Comment: WACHOVIA SECURITIES AND FINANCIAL ADVISOR BOTH FULLY AND COMPLETELY DENY ALL CLAIMS IN WRITING ON APRIL 11, 2008.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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