Frank Black – Frank Harmon Black Jr, FINRA Files Complaint

Frank Black – Frank Harmon Black Jr, FINRA Files Complaint | Goodman & Nekvasil P.A., May Recover Investor Losses

Frank Black, Frank Harmon Black Jr CRD #22451

Frank Black has been licensed with Southeast Investments, N.C., Inc. since 1997. According to Frank Black’s CRD, Frank Black was barred from the securities industry in April 2019.

According to FINRA: Frank Black was named a respondent in a FINRA complaint alleging that Frank Black, while acting on behalf of Frank Black’s member firm, provided false documents to FINRA during an examination. The complaint alleges that certain of the branch inspection documents that the firm, acting through Frank Black, provided to FINRA were fabricated and falsely reported branch inspections that had never taken place. The complaint also alleges that Black provided false investigative testimony to FINRA. Frank Black falsely testified that he conducted branch inspections of former firm representatives’ non-registered office locations on the dates reflected on the branch inspection documents. The complaint further alleges that Frank Black failed to ever conduct branch office inspections of these non-registered office locations. In addition, the complaint alleges that the firm, acting through Black, failed to retain electronic business-related correspondence. Moreover, the complaint alleges that the firm, acting through Frank Black, failed to establish, maintain and enforce written procedures and a system to supervise the activities of each registered representative, registered principal, and other associated persons that were reasonably designed to achieve compliance with applicable securities laws and regulations regarding the preservation of business-related electronic communications and branch inspections.

If you lost any money on investments with Frank Black, you may be able to recover your losses. If you lost money on investments with Frank Black and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Frank Black’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Frank Black and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us. 

Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange

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