J K R & COMPANY, INC. of VAN NUYS, CA is an SEC-registered investment adviser (CRD 8040). Regulatory assets under management: $136.3M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| James Kemp Richardson | VICE PRESIDENT | — |
| James Andrew Ellis | PRESIDENT / FINOP / CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-07-27 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND THE ENTRY OF FINDINGS THAT DURING THE PERIOD OF NOVEMBER 2012 AND DECEMBER 2016 IT VIOLATED FINRA RULES 3310(A) AND 2010 IN CONNECTION WITH ITS AML PROGRAM BY FAILING TO DETECT RED FLAGS OF SUSPICIOUS ACTIVITY IN FOUR… | Final | $50K |