IBN Financial Services Inc.

09/20/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075812301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: IBN Financial Services, Inc. (Respondent) Member Firm CRD No. 42360 Pursuant to FINRA Rule 9216, Respondent IBN Financial Services, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2022075812301data-portal.finra.orgfinra.org

05/10/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049862001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: IBN Financial Services, Inc., Respondent BD No. 42360 Pursuant to FlNRA Rule 9216 of FINRA's Code of Procedure, Respondent IBN Financial Services, Inc. ("IBN" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ( AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2016049862001data-portal.finra.orgfinra.org

01/29/2025: From January 2019 through February 2021, IBN and Evans failed to reasonably supervise, and IBN failed to enforce written policies and procedures reasonably designed to achieve compliance with Regulation Best Interest (Reg BI) with respect to, a registered representative’s recommendations of alternative investments to two retail customers. Accordingly, IBN and Evans violated FINRA Rules 3110 and 2010, and from June 30, 2020 through February 2021, IBN willfully violated Rule 15l-1(a)(1) of the Securities Exchange Act of 1934 and violated FINRA Rule 2010 by failing to comply with the Compliance Obligation of Reg BI.

Reference 2022076855801data-portal.finra.orgfinra.org

04/14/2022: LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061214401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: IBN Financial Services, Inc. (Respondent) Member Firm CRD No. 42360 Pursuant to FINRA Rule 9216, Respondent IBN Financial Services, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2019061214401data-portal.finra.orgfinra.org