Securities Lawyers Blog
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 allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on August 13, 2024.
The Division alleged Respondent acted as an unlicensed agent and sold unregistered securities.
