James Jerome Heffers Sr., Reg. Rep., Kingston, Pennsylvania

FINRA Securities Fraud and Misrepresentation Attorney, Russell L. Forkey, Esq.

May, 2011

James Jerome Heffers Sr. (CRD #241577, Registered Representative, Kingston, Pennsylvania, formerly licensed with Fortune Financial Services, Inc. ) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Heffers consented to the described sanction and to the entry of findings that he failed to provide FINRA with information and documents. The findings stated that Heffers submitted a written response to FINRA, but in it he failed to respond to certain questions and thereby failed to provide information that was material to an investigation. The findings also stated that Heffers notified FINRA that he would not provide any additional information in writing and would not provide the requested documents. (FINRA Case #2010025152401).

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