Tag Archives: James Anthony Parrelly

Investment Planners Stockbroker Fired For Unauthorized Trading

June 12, 2021  |   Posted by :   |   Breach of Fiduciary Duty, FINRA Securities Arbitration, Investment and Regulatory News, Promissory Notes, Unauthorized Trading   |   Comments Off on Investment Planners Stockbroker Fired For Unauthorized Trading

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 […]

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Investment Planners Stockbroker Barred For Unauthorized Trading

May 13, 2020  |   Posted by :   |   Unauthorized Trading   |   Comments Off on Investment Planners Stockbroker Barred For Unauthorized Trading

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 […]

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