Finra bars broker-dealer owner for false testimony, fabricated documents
Frank H. Black and his firm, Southeast Investments N.C. Inc., failed to retain business-related emails and to achieve compliance with applicable securities laws, according to the Finra panel's decision.
The Financial Industry Regulatory Authority Inc. on Friday barred the owner of a small independent broker-dealer after he testified falsely during an on-the-record interview and provided fabricated documents relating to his firm's branch office inspections, according to a Finra hearing panel decisio
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