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HARRY HOOVER HORNING

HARRY HOOVER HORNING is currently employed as a Broker and/or Investment Adviser at SAGEPOINT FINANCIAL, INC. located at 8721 PLANTATION LANE, SUITE 201, MANASSAS, VA, 20110.

HARRY HOOVER HORNING has worked at SAGEPOINT FINANCIAL, INC. since October 31, 2008

Disclosure History

HARRY HOOVER HORNING has 3 Disclosure Event(s).

Date: October 07, 1996
Category: Employment Separation After Allegations
Firm Name: MOORS & CABOT INC
Termination Type: Permitted to Resign
Allegations: N/AVIOLATION OF ORDER SUSPENDING LICENSE IN VANO CLIENT LOSSES OR COMPLAINT
Broker Comment: I DENIED SETTLEMENT OFFERS WITH VA AND WENT TOAHEARING. RESULTS OF HEARING FO UND NO PROOF THAT I VIOLATED ANYPRIOR RULING OR SECURITIES LAW. AFTER HEARIN G I SETTLED WITHVA TERMS AS FOLLOW $300.00 TOWARD INVESTIGATION, NO FINE, LIENSE RESTRICTED UNTIL 5/1/98.Not Provided

Date: August 22, 1996
Category: Regulatory
Initiated By: COMMONWEATH OF VIRGINIA
Allegations: VIOLATION OF TERMS OF TEMPORARY BAR
Resolution: Decision Sanction Details: SETTLEMENT DISCUSSIONS ARE BEING HELD
Broker Comment: AS EXPLAINED IN A MARCH 9, 2000, LETTER FROM THE VIRGINIA STATE CORPORATION COMMISSION, "SUBSEQUENT TO THE ISSUANCE OF THE ORDER (OF 1992), THE SECURITIES DIVISION OF THE COMMISSION, ON APRIL 16, 1999, AGREED TO REGISTER MR. HORNING AS AN INVESTMENT ADVISOR REPRESENTATIVE IN VIRGINIA. THE ACT OF REGISTERING MR. HORNING AS AN INVESTMENT ADVISOR REPRESENTATIVE CONTRARY TO THE PROVISIONS OF THE 1992 ORDER IN EFFECT, RENDERS THOSE PROVISIONS NULL AND VOID."

Date: April 14, 1992
Category: Regulatory
Initiated By: VIRGINIA - STATE CORPORATION COMMISSIONDIVISION OF SECURITIES
Allegations: THAT IN VIOLATION OF SECTIONS 13.1-502 AND13.1-503 OF THE VIRGINIA SECURITIES ACT THE DEFENDANT EMPLOYEDARTIFICES TO DEFRAUD CLIENTS BY OMITTING TO STATE MATERIALFACTS.
Resolution: Consent Sanction Details: DEFENDANT AGREED TO TERMINATE HIS BROKER-DEALERAGENT REGISTRATION AND NOT TO REAPPLY FOR A PERIOD OF FIVEYEARS. THE DEFENDANT ALSO AGREED TO NEVER APPLY AS ANINVESTMENT ADVISOR OR INVESTMENT ADVISOR REPRESENTATIVE.
Broker Comment: AS EXPLAINED IN A MARCH 9, 2000, LETTER FROM THE VIRGINIA STATE CORPORATION COMMISSION, "SUBSEQUENT TO THE ISSUANCE OF THE ORDER (OF 1992), THE SECURITIES DIVISION OF THE COMMISSION, ON APRIL 16, 1999, AGREED TO REGISTER MR. HORNING AS AN INVESTMENT ADVISOR REPRESENTATIVE IN VIRGINIA. THE ACT OF REGISTERING MR. HORNING AS AN INVESTMENT ADVISOR REPRESENTATIVE CONTRARY TO THE PROVISIONS OF THE 1992 ORDER IN EFFECT, RENDERS THOSE PROVISIONS NULL AND VOID."

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