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 |
|---|---|---|---|---|---|---|---|---|
| Debra Kay Littlefield | 2312877 | 5 | 01/22/2001 | Customer Dispute | Settled | $262,544.00 | $0.00 | See FINRA Report |
| Wilton Dietrich Johnson | 812956 | 1 | 10/12/2000 | Customer Dispute | Award / Judgment | $18,350.20 | $10,000.00 | See FINRA Report |
| Dennis Barry Holmstrom | 1619349 | 5 | 02/04/2000 | Customer Dispute | Closed-No Action | $11,660.00 | $0.00 | See FINRA Report |
| Dennis Barry Holmstrom | 1619349 | 5 | 01/26/2000 | Customer Dispute | Settled | $51,639.00 | $0.00 | 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 | 10/24/1996 | Customer Dispute | Settled | $53,000.00 | $0.00 | See FINRA Report |
| Douglas Francis Guerin | 1091733 | 3 | 02/01/1995 | Customer Dispute | Settled | $18,730.80 | $0.00 | See FINRA Report |
| Douglas Francis Guerin | 1091733 | 3 | 09/19/1994 | Customer Dispute | Settled | $99,495.40 | $0.00 | See FINRA Report |
| Douglas Francis Guerin | 1091733 | 3 | 07/11/1994 | Customer Dispute | Settled | $51,250.00 | $0.00 | See FINRA Report |