Nex Systems
Type not stated

INTEGRATED FINANCIAL PLANNING SERVICES INC.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/16/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2009016258801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Integrated Financial Planning Services, Inc., Respondent Member Firm BD No. 17935 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Integrated Financial Planning Services, Inc. ("IFPS" or the "Firm" or the "Respondent")

    Reference 2009016258801finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/05/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. SAF200700767 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA)" RE: Integrated Financial Planning Services, Inc., Respondent Member Firm BD No. 17935 Barry Ernest Swanson., Respondent CRD No. 706508 Pursuant to Rule 9216 of FINRA's Code of Procedure, Integrated Financial Planning Services, Inc. and Barry Ernest Swanson ("Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference SAF200700767finra.orgdata-portal.finra.org

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