ROBBI JULENE JONES2

04/24/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Robbi J. Jones (CRD No. 1797418) and Kipling Jones & Company, Ltd. (CRD No. 144730), Respondent. Disciplinary Proceeding No. 2015044782401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between April 22, 2014 and February 3, 2016, Respondent Robbi J. Jones ("Jones"), President and CEO of FINRA member Respondent Kipling Jones & Company, Ltd. (hereinafter, ''KJC" or "the Firm"), filed, or

10/17/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBBI J. JONES (CRD No. 1797418), and KIPLING JONES & COMPANY, LTD. (CRD No. 144730), Respondents. Disciplinary Proceeding No. 2015044782401 Hearing Officer–KBW EXTENDED HEARING PANEL DECISION October 17, 2018 Respondent Robbi J. Jones caused Respondent Kipling Jones & Co., LTD. (“KJC”) to willfully create and maintain inaccurate books and records and to file

12/17/2020: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Robbi J. Jones Houston, TX, and Kipling Jones & Company., Ltd. Houston, TX, Respondents. DECISION Complaint No. 2015044782401 Dated: December 17, 2020 Respondent firm and its president filed materially inaccurate FOCUS reports and created inaccurate books and records. Respondent president

11/28/2025: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 104273 / November 28, 2025 Admin. Proc. File No. 3-20209 In the Matter of the Application of ROBBI J. JONES and KIPLING JONES & CO., LTD., For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING FINRA found that a former member firm and its owner were liable for maintaining inaccurate books and records and for filing materially inaccurate FOCUS reports. FINRA also found that the firm’s owner provided inaccurate and misleading information, documents, and testimony to FINRA staff, and refused to respond to questions asked during on-the-record testimony. Held, FINRA’s findings of violations and sanctions are sustained.

Reference 2015044782401data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org