Investment Professionals Inc.

Regulator action

United States. Named in 6 sanctions listings.

Sanctions and listings6

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/02/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120313632-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Investment Professionals, Inc., Respondent Broker-Dealer CRD No. 30184 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Investment Professionals, Inc. (the ''Respondent" or "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of
Reference 2012031363201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038746401 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Investment Professionals, Inc., Respondent Broker-Dealer CRD No. 30184 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Investment Professionals, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2013038746401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20110283561-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Investment Professionals, Inc., Respondent Broker-Dealer CRD No. 30184 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Investment Professionals, Inc. (the "firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2011028356101finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/25/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. INVESTMENT PROFESSIONALS, INC. (BD No. 30184), Respondent. DISCIPLINARY PROCEEDING No. 2007008650302 Hearing Officer-LBB ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2007008650302 was filed on May 18, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority
Reference 2007008650302data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011028001902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Investment Professionals, Inc., Respondent Member Firm CRD No. 30184 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2011028001902finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039093501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: lnvestment Professionals, Inc., Respondent Member Firm CRD No, 30184 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Investment Professionals, lnc. (''IPI," the "Firm," or "Respondent"), submits this Letter of Acceptance, Waiver and Consent (''AWC'') for the purpose of proposing
Reference 2014039093501data-portal.finra.org finra.org

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