JAMES PAUL KERN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 200 COUNTRY CLUB DR SW STE C2, BLACKSBURG, VA, 24060.
JAMES PAUL KERN has worked at WELLS FARGO CLEARING SERVICES, LLC since June 15, 2002
Disclosure History
JAMES PAUL KERN has 1 Disclosure Event(s).
Date: March 26, 1990 Category: Regulatory Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Resolution: Consent SanctionDetails: Sanctions: Censure Broker Comment: ON DECEMBER 9, 1988 DOMINION DISCOVERED A NETCAPITAL DEFICIENCY OF $7,107 AT A TIME WHEN DOMINION NETCAPITAL REQUIREMENT WAS $25,000. THE DEFICIENCY WASIMMEDIATELY REPORTED TO THE NASD AND SEC. ON THE DATE OFDISCOVERY DOMINION CORRECTED THE DEFICIENCY THROUGH THE SALE OFCOMMON STOCK TO DOMINION BANKSHARES CORPORATION IN THE AMOUNTOF $100,000.
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