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 | 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 |
| 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 |
| John Thomas Oehl | 1313682 | 8 | 05/31/2009 | Customer Dispute | Settled | $40,962.30 | $0.00 | See FINRA Report |
| Charles Randall Cherry | 716216 | 5 | 07/16/2004 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Dennis Barry Holmstrom | 1619349 | 5 | 04/10/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Debra Kay Littlefield | 2312877 | 5 | 01/22/2001 | Customer Dispute | Settled | $262,544.00 | $0.00 | See FINRA Report |
| Dennis Barry Holmstrom | 1619349 | 5 | 01/26/2000 | Customer Dispute | Settled | $51,639.00 | $0.00 | See FINRA Report |