Investment Placement Group

11/23/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050001875-01 TO: Market Regulation Department NASD RE: Investment Placement Group, Respondent Broker-Dealer CRD No. 14458 Pursuant to Rule 9216 of NASD Code of Procedure, Investment Placement Group ("IPGR") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

Reference 2005000187501data-portal.finra.orgfinra.org

10/26/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 2013039590801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Investment Placement Group, Respondent Member Firm CRD No. 14458 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Investment Placement Group ("IPG"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2013039590801finra.orgdata-portal.finra.org

07/08/2025: Between January 2020 and November 2022, IPG failed to reasonably supervise the use of an approved electronic instant messaging platform provided by a vendor and failed to preserve and review certain business-related communications sent and received through the platform. Therefore, it violated Section 17(a) of the Securities Exchange Act of 1934, Exchange Act Rule 17a-4, and FINRA Rules 4511, 3110, and 2010. For these violations, IPG is censured, fined $100,000, and has agreed to an undertaking.

Reference 2022073425101data-portal.finra.orgfinra.org