Our Staff has compiled our research into a database of FINRA Broker Disclosures for Southeast Investments, N.C., Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Darin Scott Paul | 5048523 | 6 | 10/23/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darin Scott Paul | 5048523 | 6 | 10/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joquinn Thomas Sadler | 2817763 | 3 | 04/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Alan Rosen | 6128645 | 5 | 03/30/2020 | Customer Dispute | Award / Judgment | $520,000.00 | $35,000.00 | See FINRA Report |
| Brian Alan Rosen | 6128645 | 5 | 10/23/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Alan Rosen | 6128645 | 5 | 10/09/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Alan Rosen | 6128645 | 5 | 06/18/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Ian Siegel | 1627931 | 3 | 08/31/2016 | Customer Dispute | Award / Judgment | $14,482.00 | $14,482.00 | See FINRA Report |
| Mark Burton Abbott | 3106588 | 10 | 09/18/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Alan Rosen | 6128645 | 5 | 02/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |