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 |
| 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 |
| 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 |
| Byung-Ju Kim | 4353063 | 3 | 08/14/2012 | Customer Dispute | Denied | $112,066.00 | $0.00 | See FINRA Report |
| Byung-Ju Kim | 4353063 | 3 | 08/14/2012 | Customer Dispute | Denied | $136,367.00 | $0.00 | See FINRA Report |
| Debra Kay Littlefield | 2312877 | 5 | 01/03/2011 | Customer Dispute | Settled | $37,513.00 | $0.00 | See FINRA Report |
| Rolan Phillip Littlefield | 2968538 | 1 | 01/03/2011 | Customer Dispute | Settled | $37,513.00 | $0.00 | See FINRA Report |
| Robert Ian Siegel | 1627931 | 3 | 12/28/2009 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |