Southeast Investments, N.C., Inc. Fined by FINRA
28 May 2019
The firm and Black appealed a National Adjudicatory Council (NAC) decision to the Securities and Exchange Commission (SEC). The firm was fined a total of $146,500, of which $73,500 is joint and several with Black. Black was barred from association with any FINRA® member in any capacity. The NAC affirmed in part and reversed in part the findings and affirmed in part, vacated in part and modified in part the sanctions imposed by the Office of Hearing Officers (OHO).
