MA-A
0001407215
XXXXXXXX
Robbi J. Jones
713-353-4688
rjones@kiplingjones.com
rjones@kiplingjones.com
12-31-2023
N
KIPLING JONES & CO., LTD.
144730
65-1191761
866-00700-00
867-01880
Texas
37495
440 LOUISIANA STREET
STE. 900
HOUSTON
TX
77002
713-353-4688
N
www.kiplingjones.com
Robbi
Julene
Jones
440 Louisiana Street
Suite 900
Houston
TX
77002
713-353-4688
rjones@kiplingjones.com
Robbi
Julene
Jones
440 Louisiana Street
Suite 900
Houston
TX
77002
713-353-4688
December
TX
05-28-2003
N
1
1
0
0
0
2
Municipal Entities
Corporations or other businesses
0
0
0
Not Applicable
Hourly Charges
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice On Selection
N
0
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
Y
Y
Y
N
N
N
N
N
N
Y
N
JonesCap, LLC
N
65-1191756
General Partner
05-28-2003
NA
Y
RJJ Holdings, LLC
N
26-0238505
Limited Partner
12-28-2006
D
Y
Line Street Holdings, LLC
N
42-1782086
Limited Partner
06-30-2007
C
N
GStorrs Jones, LLC
N
42-0924855
Limited Partner
10-30-2006
NA
N
Smith Family Revocable Trust
N
48-8648120
Limited Partner
06-30-2007
NA
N
Robbi
Julene
Jones
CFO, FINOP, Preside t
12-18-2007
D
Y
1797418
JonesCap, LLC
Robbi
Julene
Jones
General Partner
05-28-2003
E
Y
1797418
RJJ Holdings, LLC
Robbi
Julene
Jones
Limited Partner
01-29-2006
E
Y
1797418
Line Street Holdings, LLC
Sam
NMN
Kelly
Limited Partner
11-27-2006
E
Y
000000000
JonesCap, LLC
N
65-1191756
General Partner
05-28-2003
NA
Y
RJJ Holdings, LLC
N
26-0238505
Limited Partner
12-28-2006
D
Y
Line Street Holdings, LLC
N
42-1782086
Limited Partner
06-30-2007
C
N
GStorrs Jones, LLC
N
42-0924855
Limited Partner
10-30-2006
NA
N
Smith Family Revocable Trust
N
48-8648120
Limited Partner
06-30-2007
NA
N
Robbi
Julene
Jones
CFO, FINOP, Preside t
12-18-2007
D
Y
1797418
JonesCap, LLC
Robbi
Julene
Jones
General Partner
05-28-2003
E
Y
1797418
RJJ Holdings, LLC
Robbi
Julene
Jones
Limited Partner
01-29-2006
E
Y
1797418
Line Street Holdings, LLC
Sam
NMN
Kelly
Limited Partner
11-27-2006
E
Y
000000000
9-E4
Kipling Jones & Co., Ltd.
144730
1677951
9-E4
Kipling Jones & Co., Ltd.
144730
1677828
9-E4
Kipling Jones & Co., Ltd.
144730
1653549
9-E4
Kipling Jones & Co., Ltd.
144730
1652784
9-E4
Kipling Jones & Co., Ltd.
144730
1511093
9-E4
Kipling Jones & Co., Ltd.
144730
1771318
9-E4
9-G
Notice of Suspension
N/A
FINRA/Office of Hearing Officers
1735 K Street, NW, 2nd Floor
Washington
DC
20006
The firm has not yet submitted its 2019 annual audit. Although the firm has not yet submitted its 2019 annual audit, it has engaged a qualified firm and anticipates submitting the audit on or before July 31, 2020.
04-27-2020
FINRA
FINRA
Suspension
No Product
The firm has not yet submitted its 2019 annual audit. Although the firm has not yet submitted its 2019 annual audit, it has engaged a qualified firm and anticipates submitting the audit on or before July 31, 2020.
05-05-2020
Due to COVID-19, the firm did not receive notice until on or about May 5, 2020.
The broker-dealer may not currently engage in securities activities.
1
9-E1
9-E2
9-E3
9-E4
FINRA/ National Adjudicatory Council (NAC)
2015044782401
1735 K Street, NW
Washington
DC
20006
This regulatory action stems from the appeal of a Hearing Panel decision issued on October 17, 2018. The December 17, 2020 decision found that Kipling Jones & Co., Ltd. filed materially inaccurate FOCUS reports and created inaccurate books and records in violation of Section 17(a) of the Exchange Act, Exchange Act Rules 17a-3 and 17a-5, and FINRA Rules 4511 and 2010. The NAC sustained the decision of the hearing panel and the NAC decision is now on appeal as of January 19, 2021.
12-17-2020
FINRA
CivilAdminPenaltyFine
No Product
This action stems from the appeal of a Hearing Panel decision issued on October 17, 2018. The December 17, 2020 decision found that Kipling Jones & Co., Ltd. filed materially inaccurate FOCUS reports and created inaccurate books and records in violation of Section 17(a) of the Exchange Act, Exchange Act Rules 17a-3 and 17a-5, and FINRA Rules 4511 and 2010.
U.S. Securities and Exchange Commission
2015044782401
Room 10915
100 F Street NW
Washington
DC
20549
Robbi J. Jones and Kipling Jones Company, Ltd.
01-19-2021
Appellants, Ms. Robbi J. Jones and Kipling Jones & Company, LTD, pursuant to 17 C.F.R. Section 201.154, 201.401, and 240.19d-2, filed their Notice of Appeal with the U.S. Securities and Exchange Commission to reverse the decision of the National Adjudicatory Council (NAC) and in conjunction therewith stay the bars and sanctions imposed by the NAC of FINRA with regard to Complaint No. 2015044782401 which was issued on December 17, 2020. The appeal is currently pending.
Subject to statutory disqualification.
12-17-2020
Notice of Appeal filed on January 19, 2021.
Decision
Appealed
Other
Appellants, Ms. Robbi J. Jones and Kipling Jones & Company, LTD, pursuant to 17 C.F.R. Section 201.154, 201.401, and 240.19d-2, filed their Notice of Appeal with the U.S. Securities and Exchange Commission to reverse the decision of the National Adjudicatory Council (NAC) and in conjunction therewith stay the bars and sanctions imposed by the NAC of FINRA with regard to Complaint No. 2015044782401 which was issued on December 17, 2020. The appeal is currently pending.
Y
CivilAdminPenaltyFine
12-17-2020
Barred in all capacities.
38000.00
38000.00
Notice of Appeal filed on January 19, 2021.
38000.00
Robbi
Julene
Jones
N
1797418
FINRA/ National Adjudicatory Council (NAC)
2015044782401
1735 K Street, NW
Washington
DC
20006
This regulatory action stems from the appeal of a Hearing Panel decision issued on October 17, 2018. The December 17, 2020 decision found that Ms. Jones caused the firm to file inaccurate FOCUS reports and provided false and misleading information to FINRA by refusing to respond to questions during Ms. Jones' OTR. The NAC sustained the decision of the hearing panel and the NAC decision is now on appeal as of January 19, 2021.
12-17-2020
FINRA
BarPermanent
No Product
This regulatory action stems from the appeal of a Hearing Panel decision issued on October 17, 2018. The December 17, 2020 decision found that Jones caused the firm to file inaccurate FOCUS reports and provided false and misleading information to FINRA by refusing to respond to questions during Jones' OTR.
U.S. Securities and Exchange Commission
2015044782401
Room 10915
100 F Street NW
Washington
DC
20549
Robbi J. Jones and Kipling Jones Company, Ltd.
01-19-2021
Appellants, Ms. Robbi J. Jones and Kipling Jones & Company, LTD, pursuant to 17 C.F.R. Section 201.154, 201.401, and 240.19d-2, filed their Notice of Appeal with the U.S. Securities and Exchange Commission to reverse the decision of the National Adjudicatory Council (NAC) and in conjunction therewith stay the bars and sanctions imposed by the NAC of FINRA with regard to Complaint No. 2015044782401 which was issued on December 17, 2020. The appeal is currently pending.
All capacities.
12-17-2020
Notice of Appeal filed on January 19, 2021.
Decision
Appealed
Other
Appellants, Ms. Robbi J. Jones and Kipling Jones & Company, LTD, pursuant to 17 C.F.R. Section 201.154, 201.401, and 240.19d-2, filed their Notice of Appeal with the U.S. Securities and Exchange Commission to reverse the decision of the National Adjudicatory Council (NAC) and in conjunction therewith stay the bars and sanctions imposed by the NAC of FINRA with regard to Complaint No. 2015044782401 which was issued on December 17, 2020. The appeal is currently pending.
Y
BarPermanent
12-17-2020
All capacities.
Robbi Jones
Robbi Jones
President
01-05-2024
N
N
N
N
N
Y
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
N