Investment Professionals, Inc. – Investor Alert
UPDATE 9/23/16: The firm has been censured and fined $170,000 by FINRA for allegedly failing to supervise nine of its financial advisors.
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Investment Professionals, Inc.. If you suffered losses investing with Investment Professionals, Inc., then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Investment Professionals, Inc. (CRD# 30184) (SEC# 8-44786)
As of September 23, 2016, Investment Professionals, Inc.’s FINRA BrokerCheck Report contains the following:
13 Regulatory Event Disclosures
0 Civil Event Disclosures
0 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
16414 SAN PEDRO AVE STE. 150
SAN ANTONIO, TX 78232-2245
Mailing Address
16414 SAN PEDRO AVE STE. 150
SAN ANTONIO, TX 78232-2245
Business Telephone Number
210-308-8800
Direct Owners and Executive Officers
IHC – HOLDING COMPANY
BARNES, SCOTT ALLEN (CRD# 1336180) – CHAIRMAN OF THE BOARD
DULLNIG, RICHARD ROLLE (CRD# 2215594) – REGISTERED OPTIONS PRINCIPAL
MCANELLY, JAY LANCE (CRD# 2677791) – PRES/CEO
PUNDT, DEBBEE J (CRD# 3121857) – CHIEF OF STAFF – PARTNER
SUROVIK, BRIAN KEITH (CRD# 4481124) – CHIEF COMPLIANCE OFFICER
WALTERS, CHRISTINE MARGARET (CRD# 5544926) – FINOP/CFO
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Investment Professionals, Inc. and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
