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Doug Gow: GWG Complaint Against Ex-Capital Investment Group Advisor
A recent investor complaint against Rome, Georgia financial advisor Doug Gow (CRD# 709653) alleges misconduct relating to an investment in GWG Holdings. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Dempsey Lord Smith, having previously been registered with Capital Investment Group.
Mr. Gow’s BrokerCheck report discloses one investor complaint. Filed in September 2022, it alleges that as a representative of Capital Investment Group, he recommended an unsuitable investment in GWG Holdings, misrepresented material facts relating to the investment, and omitted information relating to the investment. The pending complaint alleges damages of $60,333.33.
According to the Financial Industry Regulatory Authority, Doug Gow holds 39 years of securities industry experience. Based in Rome, Georgia, he has been a broker and an investment advisor with Dempsey Lord Smith since 2017. His past registrations include Capital Investment Group (Atlanta, Georgia; 2010-2017), Equity Services (Atlanta, Georgia; 2003-2010), 1717 Capital Management (Newark, Delaware; 1999-2003), Equity Services (Montpelier, Vermont; 1997-1999), Securities America (La Vista, Nebraska; 1995-2007), Jefferson-Pilot Investor Services (Fort Wayne, Indiana; 1994-1995), Forth Financial Services (Richmond, Virginia; 1994), WS Griffith & Company (Hartford, Connecticut; 1993-1994), Phoenix Equity Planning Corporation (Hartford, Connecticut; 1993), Ogilvie & Taylor Securities Corporation (Chicago, Illinois; 1988-1993), Guardian Investor Services Corporation (1985-1986), and Phoenix Equity Planning Corporation (1980-1985). His credentials include the passage of five securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Registered Representative Examination, or Series 1; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Alabama, Georgia, Illinois, Massachusetts, Minnesota, North Carolina, Rhode Island, and South Carolina. (Information current as of October 5, 2022.)
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