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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Frank Harmon Black | 22451 | 12 | 08/05/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Thomas Oehl | 1313682 | 8 | 06/29/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Thomas Oehl | 1313682 | 8 | 10/27/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Thomas Oehl | 1313682 | 8 | 06/13/1986 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Allan Ewing | 711133 | 2 | 02/06/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Harmon Black | 22451 | 12 | 01/01/1983 | Customer Dispute | Award / Judgment | $18,000.00 | $12,500.00 | See FINRA Report |
| Joseph Allan Ewing | 711133 | 2 | 12/10/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |