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 |
|---|---|---|---|---|---|---|---|---|
| Philip Lynn Robertson | 2714730 | 2 | 08/16/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Debra Kay Littlefield | 2312877 | 5 | 05/21/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Barry Holmstrom | 1619349 | 5 | 04/01/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Harmon Black | 22451 | 12 | 03/26/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Thomas Oehl | 1313682 | 8 | 08/21/2012 | Judgment / Lien | $0.00 | $0.00 | 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 |
| Eartha Marie Young | 1248645 | 1 | 10/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip Lynn Robertson | 2714730 | 2 | 09/30/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Edward Yacks | 874643 | 4 | 06/13/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |