Investment Professionals Inc
Tag Archive

• What is Failure to Supervise? FINRA RULE 3110 (SUPERVISION)

  

  September 23, 2016 Comments (1) Blog, Securities Fraud

  What is FINRA Rule 3110? According to the Financial Industry Regulatory authority (FINRA) FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance with the applicable securities laws and regulations and

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• FINRA Fines San Antonio Brokerage Firm

  

  September 23, 2016 Comments (0) Blog, Current Investigations, Securities Fraud

  FINRA Charges Investment Professionals Inc. with Failure to Supervise Texas-based broker-dealer Investment Professionals Inc. (IPI) has been censured and fined $170,000 by the Financial Industry Regulatory Authority (FINRA). IPI is headquartered in San Antonio, TX since it was established in 1992, with over $8.2

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