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investment Planners

James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI

James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI 150 150 Rex Securities Law

July 2021- Dearborn, MI According to publicly available records James Parrelly (CRD#728368), an unregistered broker who last worked for Investment Planners, Inc.,  discloses 3 regulatory events,  7 final customer disputes,…

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Investment Planners Inc. Sanctioned Over Variable Annuity Charges

Investment Planners Inc. Sanctioned Over Variable Annuity Charges 150 150 Rex Securities Law

October 1,  2015- Decatur, Illinois Investment Planners, Inc.  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between April 2013…

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