James Hembling (CRD #6759499) Has Financial and Judgment/Lien Disclosures on FINRA BrokerCheck

James Hembling (CRD #6759499) is currently registered with Edward Jones. We reviewed his BrokerCheck report on April 14, 2026. It reflects two financial disclosures and two judgment/lien disclosures. If you worked with James Hembling and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Financial Disclosures

James Hembling’s FINRA BrokerCheck report reflects two financial disclosures. Summaries are below:

On November 13, 2019, James Hembling disclosed a Chapter 7 bankruptcy filed in federal court in Fort Myers, Florida. James Hembling’s FINRA BrokerCheck report shows the matter was discharged on February 24, 2020.

On March 2, 2026, James Hembling disclosed a pending compromise with creditor LVNV Funding LLC in Lee County, Florida. James Hembling’s FINRA BrokerCheck report states the original amount owed was $6,695.78 and the reported settlement term was $4,352.23.

Judgment / Lien

James Hembling’s FINRA BrokerCheck report reflects two judgment/lien disclosures. Summaries are below:

On February 4, 2026, James Hembling disclosed an outstanding civil judgment/lien for $1,806.38 held by Portfolio Recovery Associates LLC in Lee County, Florida. James Hembling’s FINRA BrokerCheck report lists docket number 25-SC-008795 and says he learned of it on February 12, 2026.

On March 11, 2025, James Hembling disclosed an outstanding civil judgment/lien for $1,803.46 held by LVNV Funding LLC in Lee County, Florida. James Hembling’s FINRA BrokerCheck report lists docket number 24-SC-011023 and says he learned of it on April 29, 2025.

Rule Summary #1: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 says firms must observe high standards of commercial honor and just and equitable principles of trade. Financial disclosures can matter because they may raise questions about professional conduct and compliance culture.

Rule Summary #2: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to maintain a supervisory system reasonably designed to achieve compliance with securities laws and FINRA rules. Disclosure events can also raise questions about how a firm reviews and supervises associated persons.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, James Hembling:

Is currently registered with Edward Jones.

Has passed the Securities Industry Essentials (SIE) exam. James Hembling has also passed Series 7 and Series 66.

BrokerCheck shows no previous securities firm registrations.

Kurta Law Can Help

If you have worked with James Hembling and have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. A securities attorney can review the facts and explain possible next steps. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | What Is Securities Fraud?

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.