Securities Lawyers Blog
A FINRA disciplinary action against a brokerage firm resolves the regulator’s case, not the customers’ losses. Investors who held accounts at Carolina Financial Securities, LLC during the periods covered by the actions below may have claims of their own. The securities arbitration attorneys at Gana Weinstein LLP represent investors in FINRA arbitration against brokerage firms and can review your accounts, free of charge, to tell you whether the conduct FINRA described affected you.
Carolina Financial Securities is a broker-dealer that operates as an investment bank and placement agent, arranging private placements of securities. Founded in North Carolina in 1996, the firm is headquartered in Brevard, North Carolina, and is affiliated with Carofin.
Carolina Financial Securities, LLC – By the Numbers: