According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allen Mecham (Mecham), previously associated with Southeast Investments, N.c., Inc., has at least 2 disclosable events. These events include 2 regulatory events, alleging that Mecham recommended unsuitable investments in different investment products including debt securities among other…
Advisor Mercer Hicks (Hicks), currently employed by Southeast Investments, N.C., Inc. (Southeast Investments) has been subject to at least five liens, three employment terminations for cause, and one regulatory complaint during the course of his career. According to a BrokerCheck report the customer complaints concern alternative investments such as direct…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints against Frank Marinelli (Marinelli). According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Marinelli has been the subject of at least 3 customer complaints, 1 employment termination, 2 judgment or liens, and 1 criminal matter. The…
