7
Mar

INVESTOR ALERT! Southeast Investments, N.C.

INVESTOR ALERT! John McKinstry of Moloney Securities in St. Louis, MO

Southeast Investments, N.C., Inc. and Frank H. Black

 

We are currently investigating allegations made against Southeast Investments, N.C., Inc., a Charlotte, North Carolina-based securities brokerage firm, and its former President, Chief Compliance Officer, Chief Financial Officer, and FINOP, Frank H. Black.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Southeast Investments, N.C., making numerous allegations regarding its conduct, including that Black and Southeast Investments provided false documents and testimony to FINRA regarding its investigation into whether the Firm had conducted required inspections of branch offices.

 

FINRA also alleged that Black and Southeast Investments failed to preserve business-related emails.  FINRA also alleged that Black and Southeast Investments failed to adequately supervise five branch offices.  To settle these allegations, Southeast Investments was ordered to pay a $243,000 fine, and Black was barred from the securities industry.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout the southeast and North Carolina.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

 

Click to view:  Southeast Investments FINRA AWC

Click to view:  Southeast Investments BrokerCheck 3.7.17

 

IF YOU LOST MONEY INVESTING THROUGH SOUTHEAST INVESTMENTS, N.C., PLEASE CONTACT US AT (720) 599-3505 FOR A FREE EVALUATION OF YOUR CASE.

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.