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Capital Financial Group Inc. (H. Beck Inc.) Investment Attorney

We represent clients in investment related disputes against their brokers and investment firms, such as Capital Financial Group Inc. (securities through H. Beck Inc.). Typical claims brought on behalf of investors include misconduct related to breach of fiduciary duty, churning, and misrepresentations concerning various investment products. The attorneys at our firm can analyze your account statements and determine the extent of the financial losses, understand the legal issues involved, and provide a consultation concerning remedies available.

H. Beck, Inc. (H. Beck) is the securities arm of The Capital Financial Group and began in 1954. The firm is an independently operating subsidiary of Securian Financial Group, Inc., licensed in all fifty states, with a network of over 1,000 registered representatives. H. Beck is also a registered investment advisor. H. Beck claims that its mission is to execute investment decisions in a highly professional and highly personalized manner. H. Beck claims that its registered representative can guide investors through a broad range of investment options and custom tailor an investment portfolio.

H. Beck is affiliated with, under common control, or otherwise performs business under the company names Capital Financial Securities Corporation, Estate Investment Company, and Hibbard-Beck, Inc.

H. Beck – By the Numbers:

  • CRD# 1763
  • SEC# 8-31165
  • 12 Regulatory Events
  • 4 Customer Complaints
  • Total Revenues: $108.7 million – 2012
  • Representatives: 890 - 2012

H. Beck – In the News:

Massachusetts Securities Division v. Paul J. Dumouchel, Docket No. E-2010-0065 – The Securities Division of Massachusetts ordered a former H. Beck broker to disgorge all profits concerning the recommendation to purchase $1 million in annuities for an 82 year old woman with early stage Alzheimer. According to the complaint, the customer was convinced by broker Paul Dumouchel to cash in CDs and buy annuities. Massachusetts alleged that Dumouchel earned over $63,000 in commissions in recommending the purchase of annuities which could not be accessed without a penalty for ten years. In addition, the customer paid over $5,000 in penalties for cashing in the CDs.

In re H. Beck, Inc., Case No. 2008-0392 – The Maryland Securities Commissioner sanctioned H. Beck concerning allegations that the firm’s broker While Bulls had 19 investors pay a total of at least $450,995 to Bulls personally. The broker was accused of depositing the funds into his personal bank account and then transferred most of the funds to his personal brokerage account at TD Ameritrade. According to the complaint, Bulls lost most of the investors’ funds through unsuccessful day-trading strategies and misappropriated almost $100,000 for his personal expenses. Maryland alleged that H. Beck failed to review Bulls’ account statements during the relevant period and did not detect Bulls’ day-trading, large investment losses, and large unexplained deposits into the account.

Our attorneys has successfully represented hundreds of investors in their broker disputes with their advisor firms. Our consultations are free and we welcome all inquiries.

Client Reviews
Thank you Adam and all your colleagues for the professionalism and diligence in the final settlement of our securities fraud case. When a past law firm group turned our case down, you and your firm took on the case and we thank you for the great outcome. We would highly recommend your firm. Gloria K.
I will never forget how much you helped me by winning my case! I never thought I would see any money from my investment. I admire the way you fight for everyday people against big companies. Thank you so much! Myra W.
Adam is an outstanding lawyer. I have worked on several cases with Adam and look forward to working with him again in the future. Rob D. - Co-Counsel.
If you want an attorney that is easy to talk to and genuinely cares about your legal situation, contact Adam Gana. He helped me settle a difficult contract dispute. When you work with Adam, he makes you feel as if you are his top priority. He will call you regularly to stay on top of the situation and submits all necessary legal documentation in a timely manner. His writing is excellent, his demeanor professional, and his work exceptional. Nancy N.
Adam helped me recover money from my broker when I thought all was lost. My house was about to be foreclosed, and I lost everything. Adam came in and saved my life. Jean C.