JAMES EDWARD HEARNS is currently employed as a Broker and/or Investment Adviser at SUMMIT BROKERAGE SERVICES, INC. located at 321 MOORING LINE DRIVE, PO Box 399, Naples, FL, 34102.
JAMES EDWARD HEARNS has worked at SUMMIT BROKERAGE SERVICES, INC. since September 01, 2016
Disclosure History
JAMES EDWARD HEARNS has 3 Disclosure Event(s).
Date: January 11, 2017 Category: Regulatory
Date: July 01, 1985 Category: Regulatory Initiated By: NORTH CAROLINA Allegations: ORDER TO SHOW CAUSE WAS ISSUED JULY, 1985 BASED ON THE FINDING THAT THE RESPONDENT HAD BEEN CENSURED AND FINED BY THE NASD. Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: RESPONDENT FAILED TO RESPOND AND AN ORDER OF DEFAULT WAS ISSUED AND THE RESPONDENT'S REGISTRATION DENIED. Broker Comment: MY BROKER DEALER'S LICENSING CLERK FAILED TO NOTIFY ME OR A B/D PRINCIPAL OF THE STATE'S REQUEST FOR ADDITIONAL INFORMATION. AS A RESULT, I DID NOT HAVE AN OPPORTUNITY TO PROVIDE ADDITIONAL INFORMATION OR TO REQUEST A HEARING PRIOR TO THEIR DENIAL OF MY APPLICATION.
Date: August 04, 1981 Category: Regulatory
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