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 |
|---|---|---|---|---|---|---|---|---|
| Mark Burton Abbott | 3106588 | 10 | 09/18/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Harmon Black | 22451 | 12 | 09/15/2015 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Frank Harmon Black | 22451 | 12 | 08/19/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Alan Rosen | 6128645 | 5 | 02/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darin Scott Paul | 5048523 | 3 | 10/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Harmon Black | 22451 | 12 | 03/17/2014 | Customer Dispute | Award / Judgment | $42,000.00 | $52,152.00 | See FINRA Report |
| Mark Burton Abbott | 3106588 | 10 | 01/28/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Thomas Oehl | 1313682 | 8 | 09/11/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Irwin Belk | 4867409 | 2 | 08/23/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Burton Abbott | 3106588 | 10 | 08/19/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |