Articles Posted in James Parrelly

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Parrelly (Parrelly), previously associated with Investment Planners, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Parrelly recommended unsuitable investments in different investment products including debt securities…

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Parrelly (Parrelly), formerly associated with Investment Planners, Inc. (Investment Planners), has been subject to at least eight customer complaints, three regulatory complaints, and one employment termination for cause during his career.  Several of those complaints against…