James Hal Heafner (also known as Jim Heafner) a stockbroker formerly registered with Taylor Capital Management Inc. (also known as TCM Securities Inc.) has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity on March 31, 2020 based upon accusations that Heafner failed to cooperate with a FINRA Arbitration…
Dean Robert Nowak of Winter Park Florida a stockbroker formerly registered with TCM Securities Inc. is the subject of a customer initiated investment related complaint on April 22, 2019 where the customer sought $66,666.67 in damages based upon accusations of misrepresentations and omissions of investment information being made by the stockbroker when advising the customer…
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…