Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 19, 2018 indicate that North Carolina-based Capital Investment Group broker Naomi Johnson has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Johnson (CRD# 2277817).
Naomi Johnson has spent 25 years in the securities industry and has been registered with Capital Investment Group in Boone, North Carolina since 2005. Previous registrations include BB&T Investment Services in Charlotte, North Carolina (2004-2005); Capital Investment Group in Raleigh, North Carolina (1999-2004); Centura Securities in Kannapolis, North Carolina (1994-1999); UVest Investment Services in Charlotte, North Carolina (1994); Capital Investment Group in Raleigh, North Carolina (1993-1994); American Express Financial Advisors in Minneapolis, Minnesota (1992-1993); and IDS Life Insurance Company in Minneapolis, Minnesota (1992-1993). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on April 25, 2006; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on November 19, 1993; Series 7 (General Securities Representative Examination), which she obtained on October 29, 1992; and Series 24 (General Securities Principal Examination), which she obtained on June 25, 2001. She is a registered broker with nine US states: Florida, Georgia, Indiana, New York, North Carolina, South Carolina, Tennessee, Texas, and Virginia.
According to her BrokerCheck report, she has received two customer complaints and one pending customer complaint.
In March 2018 a customer alleged Naomi Johnson, while employed at Capital Investment Group, failed to transfer an account designation. The customer is seeking unspecified damages in the pending complaint.
In 2014 a customer alleged Naomi Johnson, while employed at Capital Investment Group, breached her fiduciary duty, committed fraud, exercised undue influence, acted negligently, and violated securities law. The complaint settled for $346,407.
In 2013 a customer alleged Naomi Johnson, while employed at Capital Investment Group, violated state and federal securities law, breached contract, committed fraud, breached her fiduciary duty, and acted negligently in connection to a 1031 exchange. The complaint settled for more than $115,900.
If you or someone you know has lost money investing with Naomi Johnson, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.