Regulators bar Charlotte financial exec from industry ties

Regulators bar Charlotte financial exec from industry ties

The Financial Industry Regulatory Authority Inc. has barred Frank Black, owner of Charlotte-based Southeast Investments N.C. Inc., after he testified falsely during an interview and provided fabricated documents relating to his firm’s office inspections, according to a FINRA hearing panel decision. Black didn’t retain business-related emails or enforce systems to achieve compliance with securities laws, the panel said. Black denies the allegations.

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