FINRA Broker Allegations

Allegations against: James Hal Heafner

Allegation type: Customer Dispute

Allegation status: Pending

The allegations read: Arbitration claims the rrs james hal heafner sold 1st global capital, llc memorandum of indebtedness to claimant on 9-29-2017 and tcm securities, inc. Failed to supervise such outside business activity.