FERRELL LEE ROLLINS is currently employed as a Broker and/or Investment Adviser at CAPITAL INVESTMENT GROUP, INC. located at 3105 GREYSTONE DRIVE, ROCKY MOUNT, NC, 27804.
FERRELL LEE ROLLINS has worked at CAPITAL INVESTMENT GROUP, INC. since November 18, 2005
Disclosure History
FERRELL LEE ROLLINS has 2 Disclosure Event(s).
Date: November 30, 2007 Category: Customer Dispute Allegations: CLIENT STATED THAT REP CONVINCED HIM NOT TO SELL CERTAIN POSITIONS ON SEVERAL OCCASIONS. ON ONE OF THESE OCCASIONS, MAY 5, 2006, CLIENT ATTEMPTED TO REACH REPAND WAS UNSUCCESSFUL REACHING HIM. SECURITIES LATER DECLINED SUBSTANTIALLY IN VALUE Damage Amount Requested: $73,000.00 Broker Comment: LETTER SENT TO CLIENT 1/16/2007. INTERNAL REVIEW FOUND NO EVIDENCE TO SUPPORT CLAIM.
Date: November 07, 2005 Category: Employment Separation After Allegations Firm Name: DAVENPORT & COMPANY LLC Termination Type: Permitted to Resign Allegations: MR. ROLLINS VIOLATED THE FIRM'S PRIVACY POLICY. Broker Comment: REP SENT E-MAIL TO A THIRD PARTY, CONTAINING CONTAINING CLIENT ACCOUNT NUMBERS, NAMES & ADDRESSES, IN ERROR, IN ATTEMPTING TO LOAD INFORMATION TO AN OUTSIDE MARKETING DATABASE. REP DID NOT INTEND TO HAVE CLIENT PERSONAL ACCOUNT INFORMATION SENT AS IT WAS ALREADY ON THE DATEBASE. BRANCH OPERATIONS WAS NOTIFIED BY REP AND ATTEMPTS TO RETRIEVE E-MAIL WERE UNSUCCESSFUL. BRANCH MANAGER ADVISED THIS WAS IN VIOLATION OF THE COMPANY POLICY AND SECURITIES LAW. I WAS TOLD THAT I WOULD BE ALLOWED TO RESIGN VOLUNTARILY AND THAT NOTHING NEGATIVE WOULD APPEAR ON MY U-5.
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