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FINRA Awards for Southeast Investments

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0184612/01/2017Claimant(s): Southeast Investments, N.C..
Claimant Lawyers(s): Frank H Black
Respondent(s): Michael Lessard
Respondent Lawyers(s): James W. Sheedy
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
15-0294608/18/2016Claimant(s): Southeast Investments, N.C..
Claimant Lawyers(s): Frank H. Black
Respondent(s): Craig Sorenson, Troy West
Respondent Lawyers(s): David von Gunten, Paul R. McMenamin
Arbitrator(s): Steven Meyrich, Charles G. Michaels, Melissa Dawn Hubbard
Hearing Site: Denver, CO
13-0170802/20/2014Claimant(s): Scott Rivard
Claimant Lawyers(s): Scott W Rivard
Respondent(s): Frank Black, Southeast Investments, N.C. Inc.
Respondent Lawyers(s): Frank Harmon Black
Arbitrator(s): Howard B. Cohen
Hearing Site: Buffalo, NY

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