Carolina Financial Services, a FINRA member since 1997 headquartered in Brevard, North Carolina, engages in private placement offerings via 15 registered reps operating out of 4 locations. The firm and Bruce Victor Roberts (the firm’s founder, CEO, and COO) were charged by FINRA’s Department of Enforcement in a Complaint alleging fraudulent misrepresentations and omissions in […]
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Tag Archives: Carolina Financial Services
Carolina Financial Securities CEO Vindicated of Securities Fraud Charge
September 11, 2015 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News, Securities Fraud | 0 Comments