19-03417(2).pdf
Order to Confirm
25-00067.pdf
Award
24-01830.pdf
Award
19-03331(7).pdf
Motion-to-Vacate Affirmed
2014039285401r Black CRD 22451 Southeast Investments CRD 132561 NAC jhjr (2025-1752193205453).pdf
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.
2025084907401 Jose Anthony Quinones, CRD 1310742 AWC gg (2025-1752193205125).pdf
On April 24, 2025, Quinones refused to provide documents and information requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.
SR-FINRA-2025-008
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 (Transaction Reporting) to maintain the currently effective 15-minute outer limit timeframe for reporting TRACE-eligible securities covered by File No. SR-FINRA-2024-004 and to provide a streamlined alternative for reporting and dissemination in connection with specified allocations of an aggregate order in a TRACE-eligible security to multiple managed customer accounts.