Potomac Analytics' Logo

FINRA Awards for Southeast Investments

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0181703/23/2023Claimant(s): Roger Johnson
Claimant Lawyers(s): David Vermont
Respondent(s): Frank Black, Kostas Tsamos, Southeast Investments, N.C..
Respondent Lawyers(s): Alan M. Wolper, Liam O'Brien
Arbitrator(s): Larry Evert Carlson, Marilee Roberg, Howard T. Goffen
Hearing Site: Chicago, IL
Checkmark Icon$0
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
16-0252401/13/2017Claimant(s): Darlene Platt
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Southeast Investments, N.C..
Respondent Lawyers(s): Frank H. Black
Arbitrator(s): Daniel P. Lund
Hearing Site: Boca Raton, FL
Checkmark Icon$15,082
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
14-0063502/06/2015Claimant(s): Julie Schmidt
Claimant Lawyers(s): Jeffrey D. Pederson
Respondent(s): Frank Black, Southeast Investments, N.C..
Respondent Lawyers(s): Frank H. Black, Frank Harmon Black
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
Checkmark Icon$52,152
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
07-0177510/06/2008Claimant(s): Elizabeth Burnell, Estate of Brian Burnell
Claimant Lawyers(s): John Hanzel
Respondent(s): Frank Black, Southeast Investments, N.C..
Respondent Lawyers(s): Frank H. Black
Arbitrator(s): Lynne T. Albert, Leslie R. Berro, Richard E. Miley
Hearing Site: Charlotte, NC
Checkmark Icon$0

7 Results

Display: