Investments for You Inc.

01/08/2025: From June 30, 2020, to September 11, 2024, Investments for You failed to establish and maintain written policies and procedures, and a supervisory system, reasonably designed to achieve compliance with Securities Exchange Act of 1934 Rule 15/-1 (Regulation Best Interest or Reg BI). As a result, the firm willfully violated Exchange Act Rule 15/-l(a)(l) and violated FINRA Rules 3110 and 2010.From June 30, 2020, to September 11, 2024, Investments for You also failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with its Exchange Act Rule 17a-14 obligations to file, deliver, and update its customer relationship summary (Form CRS). Investments for You therefore violated FINRA Rules 3110 and 2010. Additionally, from August 27, 2020, to July 6, 2022, Investments for You falsely responded "No" to the Form CRS question concerning legal or disciplinary history. The firm was required to respond "Yes," because both the firm and..

Reference 2021069377402data-portal.finra.orgfinra.org