J.K. Financial Services Inc.

10/22/2025: From June 2024 to April 2025, J. K. Financial willfully violated § 17(a)(1) of the Exchange Act and Exchange Act Rule 17a-14 and violated FINRA Rule 2010 by omitting required information on its Form CRS. From August 2020 to at least May 2024, J.K. Financial (i) violated § 17(a) of the Exchange Act, Exchange Act Rule 17a-4, and FINRA Rules 3110, 4511, and 2010 by failing to preserve and reasonably supervise business-related emails; (ii) violated FINRA Rules 3110, 3270.01, and 2010 by failing to reasonably supervise the outside business activities of its registered persons; and (iii) violated § 17(a) of the Exchange Act, Exchange Act Rules 15l-1(a)(1) and 17a-3, and FINRA Rules 3110, 4511, and 2010 by failing to establish policies and procedures, and a supervisory system, reasonably designed to achieve compliance with Regulation Best Interest (Reg BI) and related recordkeeping requirements. For these violations, the firm is censured, fined $65,000, and required to certify that it has remediated the issues...

Reference 2021069372901data-portal.finra.orgfinra.org