Bill Umphlett

  • ‘Not Yet Wealthy’ Help Drive Growth

    Growth for North Carolina’s State Employees’ Credit Union’s investment services subsidiary has come at a slow and steady pace. And that’s what the cooperative wants.

  • FINRA Rules for SECU in Estate Case

    After hearing both sides, a Financial Industry Regulatory Authority panel recently denied all claims made by the estate that was seeking more than $2 million against an investment adviser that worked for a broker-dealer acquired by SECU Brokerage Services Inc.

  • FINRA Clears SECU Brokerage

    After weighing the evidence, a Financial Industry Regulatory Authority arbitration panel recently denied all claims against SECU Brokerage Services Inc. in an estate dispute.

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