Southeast Investments, N.C. Inc.
The law offices of Gana LLP represents investors that have disputes with their financial advisors or brokerage firms, such as Southeast Investments, N.C. Inc. Many investors do not realize when their financial advisor engages in securities misconduct, but there are steps that can be taken to recover losses. There are many different types of securities related misconduct including breach of fiduciary duty, failure to supervise, false representations, and churning. The attorneys at Gana LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.
Southeast Investments N.C. Inc is full service investment firm that offers financial services in investment strategies for retirement.
Southeast Investments NC - By the Numbers:
- CRD #: 43035
- SEC #: 50127
- Regulatory Events: 3
- Customer Complaints: 3
- Employees: 106
Southeast Investments NC - In the News:
The State of Washington v. Southeast Investments NC (Case #: S-11-0597-14-SC01) - Southeast Investments was fined $30,000 for their alleged lack of proper supervision measures. The firm's alleged inadequate supervisory procedures for the review of discretionary accounts, resulted in a representative to engage in excessive trading.
Oklahoma Department of Securities v. Southeast Investments NC (Case #: 12-058) - Southeast Investments was fined $5,000 for their alleged failure to produce and enforce their own written supervisory procedures.
FINRA v. Southeast Investments N.C. Inc (Case #: 2014039285401) - The firm allegedly provided false documentation to FINRA during an examination. The alleged false information misreported branch inspections that had in fact never occurred. Allegedly, the branch failed to ever inspect its branches offices, therefore providing FINRA with false investigative testimony. In addition, the firm allegedly violated the Securities Exchange Act of 1934 and SEC Rule 17-A4, in which Southeast Investments lacked the proper maintenance of electronic business related correspondence and failed to adequately supervise the activities of each of its registered representatives and registered principals.