Frank Harmon Black

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/23/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Southeast Investments, N.C., Inc. Charlotte, North Carolina, and Frank Harmon Black Rock Hill, South Carolina, Respondents. DECISION Complaint No. 2014039285401 Dated: May 23, 2019 A Hearing Panel found that a member and its president testified falsely during an on-the-record interview; provided FINRA with fabricated documents: failed to retain
03/03/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SOUTHEAST INVESTMENTS, N.C., INC. (CRD No. 43035), FRANK HARMON BLACK (CRD No. 22451), Respondents. Disciplinary Proceeding No. 2014039285401 Hearing Officer--MJD EXTENDED HEARING PANEL DECISION and March 3, 2017 Respondents Southeast Investments, N.C., Inc., and Frank Harmon Black testified falsely during an on-the-record interview and gave FINRA fabricated
09/15/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Southeast Investments, N.C., Inc. (CRD No. 43035), and Frank Harmon Black (CRD No. 22451), Respondents. DISCIPLINARY PROCEEDING No. 2014039285401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Southeast Investments, N.C., Inc. ("SEI"), acting through Frank Harmon Black ("Black") provided false documents to FINRA during an examination, in violation of FINRA
Reference 2014039285401data-portal.finra.org data-portal.finra.org data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/06/2025: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Southeast Investments, N.C., Inc., Charlotte, North Carolina, and Frank Harmon Black, Rock Hill, South Carolina, Respondents. DECISION DISMISSING REMANDED CAUSES OF ACTION Complaint No. 2014039285401r Dated: June 6, 2025. On remand from the Securities and Exchange Commission. Held, remanded causes of action dismissed.
Reference 2014039285401rdata-portal.finra.org finra.org

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