Tag Archives: Frank Harmon Black

Southeast Investments Chief Compliance Officer Barred

May 18, 2017  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Frank Harmon Black, of Charlotte, North Carolina, owner of Southeast Investments, N.C., Inc., has been fined $170,000.00 and barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on an Extended Hearing Panel Decision containing findings that he failed to supervise the firm’s business operations in a manner which was […]

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