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Investment Professionals Inc (IPI)

Michael T. Marcom – NEXT Financial Group Broker-Discloses Settled Disputes – Georgetown, TX

Michael T. Marcom – NEXT Financial Group Broker-Discloses Settled Disputes – Georgetown, TX 150 150 Rex Securities Law

May 2018 – Georgetown, TX According to FINRA records, Michael T. Marcom ,  a stockbroker who is currently employed by NEXT Financial Group ., disclose 4 prior customer disputes. The Financial Industry Regulatory…

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San Antonio Based Investment Professionals Inc. Sanctioned for Unsuitable Advice

San Antonio Based Investment Professionals Inc. Sanctioned for Unsuitable Advice 150 150 Rex Securities Law

October 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  recently was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine…

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San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens

San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens 150 150 Rex Securities Law

March 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine and offer…

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San Antonio Based Investment Professionals Inc. (IPI) Fined $170,000 by FINRA

San Antonio Based Investment Professionals Inc. (IPI) Fined $170,000 by FINRA 150 150 Rex Securities Law

July 2016-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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Betsy Marcom-NEXT Financial Group Broker Fined/Suspended for Unsuitable Recommendation to Church-Georgetown, TX

Betsy Marcom-NEXT Financial Group Broker Fined/Suspended for Unsuitable Recommendation to Church-Georgetown, TX 150 150 Rex Securities Law

November 19, 2015-Georgetown, Texas Betsy Marcom (formerly Betsy Bratton Perryman) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

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Jaime Morales-Investment Professionals Stockbroker- Sanctioned by FINRA-San Antonio, TX

Jaime Morales-Investment Professionals Stockbroker- Sanctioned by FINRA-San Antonio, TX 150 150 Rex Securities Law

November 24 , 2014-San Antonio, Texas FINRA suspended  Jaime Morales of Castle Hills, TX on November 14, 2014, for failing to comply with an  arbitration award or settlement agreement or to satisfactorily respond…

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Rex Securities Law Investigates Former Investment Professionals Inc. Broker Jason Miller

Rex Securities Law Investigates Former Investment Professionals Inc. Broker Jason Miller 150 150 Rex Securities Law

Rex Securities Law is investigating Jason Todd Miller who previously worked for Investment Professionals, Inc. (IPI), in Ash Flat, Arkansas. Our client is an elderly widow who was anticipates filing…

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Timothy Ward of Investment Professionals, Inc. Barred by FINRA–Misappropriating Client Funds

Timothy Ward of Investment Professionals, Inc. Barred by FINRA–Misappropriating Client Funds 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness…

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