Kipling Jones & Company Ltd.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/24/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Robbi J. Jones (CRD No. 1797418) and Kipling Jones & Company, Ltd. (CRD No. 144730), Respondent. Disciplinary Proceeding No. 2015044782401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between April 22, 2014 and February 3, 2016, Respondent Robbi J. Jones ("Jones"), President and CEO of FINRA member Respondent Kipling Jones & Company, Ltd. (hereinafter, ''KJC" or "the Firm"), filed, or
10/17/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBBI J. JONES (CRD No. 1797418), and KIPLING JONES & COMPANY, LTD. (CRD No. 144730), Respondents. Disciplinary Proceeding No. 2015044782401 Hearing Officer–KBW EXTENDED HEARING PANEL DECISION October 17, 2018 Respondent Robbi J. Jones caused Respondent Kipling Jones & Co., LTD. (“KJC”) to willfully create and maintain inaccurate books and records and to file
12/17/2020: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Robbi J. Jones Houston, TX, and Kipling Jones & Company., Ltd. Houston, TX, Respondents. DECISION Complaint No. 2015044782401 Dated: December 17, 2020 Respondent firm and its president filed materially inaccurate FOCUS reports and created inaccurate books and records. Respondent president
Reference 2015044782401data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org
Other names1
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