Our Staff has compiled our research into a database of FINRA Broker Allegations for James Hal Heafner.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| James Hal Heafner | 4837072 | 7 | 03/31/2020 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| James Hal Heafner | 4837072 | 7 | 07/30/2019 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| James Hal Heafner | 4837072 | 7 | 02/04/2019 | Customer Dispute | Pending | $100,000.00 | $0.00 | See Allegations |
| James Hal Heafner | 4837072 | 7 | 01/30/2019 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
| James Hal Heafner | 4837072 | 7 | 12/12/2018 | Customer Dispute | Pending | $268,016.00 | $0.00 | See Allegations |
| James Hal Heafner | 4837072 | 7 | 11/16/2018 | Customer Dispute | Award / Judgment | $200,000.00 | $0.00 | See Allegations |
| James Hal Heafner | 4837072 | 7 | 08/31/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations |