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 |
|---|---|---|---|---|---|---|---|---|
| Brian Alan Rosen | 6128645 | 5 | 03/30/2020 | Customer Dispute | Award / Judgment | $520,000.00 | $35,000.00 | See FINRA Report |
| Robert Ian Siegel | 1627931 | 3 | 08/31/2016 | Customer Dispute | Award / Judgment | $14,482.00 | $14,482.00 | See FINRA Report |
| Frank Harmon Black | 22451 | 12 | 03/17/2014 | Customer Dispute | Award / Judgment | $42,000.00 | $52,152.00 | See FINRA Report |
| Wilton Dietrich Johnson | 812956 | 1 | 10/12/2000 | Customer Dispute | Award / Judgment | $18,350.20 | $10,000.00 | See FINRA Report |
| Richard Alan Warner | 2567173 | 4 | 01/03/2000 | Customer Dispute | Award / Judgment | $10,000.00 | $2,751.50 | See FINRA Report |
| Frank Harmon Black | 22451 | 12 | 03/18/1998 | Customer Dispute | Award / Judgment | $100,001.00 | $15,750.00 | See FINRA Report |
| Frank Harmon Black | 22451 | 12 | 01/01/1983 | Customer Dispute | Award / Judgment | $18,000.00 | $12,500.00 | See FINRA Report |