James Hal Heafner of Charlotte North Carolina a stockbroker formerly registered with Taylor Capital Management Inc. (now known as TCM Securities Inc.) has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Heafner neglected to cooperate with FINRA during the time in which he was […]
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Tag Archives: 1st Global Capital LLC
TCM Stockbroker Barred By FINRA In Investigation
August 11, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Securities Arbitration Claims, Selling Away and Outside Activities, Unregistered Securities | 0 Comments
Investors Sue TCM Securities For Massive Bond Fraud
January 29, 2019 | Posted by : Guiliano Law Group | Bond Fraud, Failure to Conduct Due Diligence, Failure To Supervise, Investment and Regulatory News, Securities Arbitration Claims, Securities Fraud, Selling Away and Outside Activities, Unregistered Securities | 0 Comments
James Hal Heafner (also known as Jim Heafner) of Charlotte North Carolina a stockbroker formerly registered with Taylor Capital Management Inc and former investment adviser representative of Retirement Wealth Advisors is the subject of a customer initiated investment related arbitration claim in which the customer requested $268,015.79 in damages founded on allegations that (1) inappropriate […]
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