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 |
|---|---|---|---|---|---|---|---|---|
| Richard Alan Warner | 2567173 | 4 | 12/22/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Randall Cherry | 716216 | 5 | 12/18/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Randall Cherry | 716216 | 5 | 05/03/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dennis Barry Holmstrom | 1619349 | 5 | 03/07/2006 | Customer Dispute | Denied | $6,499.00 | $0.00 | See FINRA Report |
| Richard Alan Warner | 2567173 | 4 | 07/28/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Edward Yacks | 874643 | 4 | 10/01/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Randall Cherry | 716216 | 5 | 07/16/2004 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Mark Burton Abbott | 3106588 | 10 | 04/12/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Edward Yacks | 874643 | 4 | 10/15/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Thomas Oehl | 1313682 | 8 | 02/06/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |