JAMES RUSSELL BEAM is currently employed as a Broker and/or Investment Adviser at CAPITAL INVESTMENT GROUP, INC. located at 200 FIRST AVENUE NW, STE 303, HICKORY, NC, 28601.
JAMES RUSSELL BEAM has worked at CAPITAL INVESTMENT GROUP, INC. since June 27, 2012
Disclosure History
JAMES RUSSELL BEAM has 1 Disclosure Event(s).
Date: November 23, 2002 Category: Customer Dispute Allegations: NORTH CAROLINA RESIDENT BOUGHT NATIONWIDE VARIABLE ANNUITY 10/31/00. SHE CLAIMS SHE BELIEVED SHE WAS BUYING ANNUITY WITH PRINCIPAL GUARANTEE. SHE IS SEEKING RETURN OF $100,000 PREMIUM. CURRENT VALUE IS APPROXIMATELY $42,000. Damage Amount Requested: $40,000.00 Broker Comment: THE COMPLAINT WAS MADE ONLY BECAUSE CUSTOMER CONTACTED WACHOVIA SECURITIES AND WAS TOLD THERE WAS NOT ANY INFORMATION OR FILE ON HER IN THAT OFFICE. THE CUSTOMERS FILE WAS DESTROYED DUE TO WACHOVIA SECURITIES NEGLIGENCE AND NO BRANCH SUPERVISION.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for JAMES RUSSELL BEAM, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.