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New Complaint Against Columbus Financial’s Cap Clegg

Dublin, Ohio financial advisor Cap Clegg (CRD# 725190) recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Commonwealth Financial Network, operating as a representative of Columbus Financial Concepts. 

Mr. Clegg’s BrokerCheck report discloses one investor complaint. Filed in August 2022, it alleges that he did not send a “proper premium payment” to an insurance company, resulting in the policy lapsing; it alleges further that he failed to contact the company to dispute the lapse. The complaint alleged damages of $300,000 and was denied by Commonwealth Financial Network.

According to the Financial Industry Regulatory Authority, Cap Clegg holds 41 years of securities industry experience. Based in Dublin, Ohio, he has been a broker and an investment advisor with Commonwealth Financial Network since 1986 and 2001, respectively, operating as a representative of Columbus Financial Concepts. His past registrations include First Alliance Financial Services, John Hancock Mutual Life Insurance Company, and John Hancock Distributors. His credentials include the passage of six securities industry: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Direct Participation Programs Representative Examination, or Series 22; the Corporate Securities Limited Representative Examination, or Series 62; the Municipal Securities Representative Examination, or Series 52; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Alabama, Arizona, California, Colorado, Connecticut, Florida, Georgia, Illinois, Indiana, Kentucky, Louisiana, Maryland, Michigan, Missouri, Montana, New Jersey, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, Virginia, West Virginia, and Wisconsin. (Information current as of October 26, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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