Carolina Financial Securities LLC

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/09/2014: FINANCIAL INDUSTRY REGULATORY AIJTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025755101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Carolina Financial Securities, LLC, Respondent FINRA Member Firm BD Number: 41970 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Carolina Financial Securities, LLC ("Carolina") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2011025755101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/16/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072848301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carolina Financial Securities, LLC (Respondent) Member Firm CRD No. 41970 Pursuant to FINRA Rule 9216, Respondent Carolina Financial Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2021072848301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/26/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. CAROLINA FINANCIAL SECURITIES, LLC (CRD No. 41970), and BRUCE VICTOR ROBERTS (CRD No. 1489110), Respondents. Disciplinary Proceeding No. 2014040295201 Hearing Officer-KBW EXTENDED HEARING PANEL DECISION Member firm made material misrepresentations and omissions in connection with the sale of securities.
04/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CAROLINA FINANCIAL SECURITIES, LLC, (BD No. 41970) and BRUCE VICTOR ROBERTS (CRD No. 1489110) Respondents. Disciplinary Proceeding No. 2014040295201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from February 14, 2014 through February 21, 2014, Carolina Financial Securities, LLC (Carolina), acting through Bruce Victor Roberts (Roberts), its President
Reference 2014040295201data-portal.finra.org finra.org data-portal.finra.org

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