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…
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…
Sherry Elaine McNair, of Lubbock, Texas, a stockbroker currently registered with 1st Global Capital Corp., is the subject of a customer initiated investment related arbitration claim on January 8, 2016, in which the customer requested $250,000.00 in damages founded upon accusations that McNair placed unsuitable mutual fund transactions in the customer’s account. FINRA Arbitration No….