James Anthony Parrelly (also known as Jim Anthony Parrelly) of Dearborn Michigan a stockbroker formerly registered with Investment Planners Inc. has been terminated on June 25, 2020 supported by allegations of Parrelly failing to comply with company policy. The securities broker dealer alleged that Parrelly made unauthorized trades in customer accounts and had failed to…

James Anthony Parrelly (also known as Jim Anthony Parrelly) of Dearborn Michigan a stockbroker currently registered with Investment Planners Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized trades in customer accounts. Letter of Acceptance…

William George Brunner of Huntington New York is a stockbroker and securities principal formerly registered with Investment Planners Inc. who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into allegations that he traded…

Michael Anthony Jump of Somonauk Illinois is a stockbroker formerly registered with Investment Planners Inc. who has been fined by the State of Wisconsin Office of the Commissioner of Insurance based upon consenting to findings that he failed to make required disclosures to the Commissioner relating to an administrative action that Jump was the subject…

William George Brunner of Huntington, New York, a stockbroker registered with Investment Planners, Inc., has been terminated from employment on May 12, 2017, based upon a customer’s allegations that Brunner exercised discretion in the customer’s account. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Brunner has been identified in five customer initiated investment related…

Michael Jump of Somonauk, Illinois, a registered representative with Investment Planners, Inc., was fined $10,000 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any and all capacities after consenting to findings that he negligently misrepresented information pertaining to fees associated with variable annuities, while also failing to…