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Don Howard Ehling

Professional Investment Services, Inc. (CRD #13703, Winfield, Kansas) and Don Howard Ehling (CRD #76203, Registered Principal, Winfield, Kansas) received a censure and fine of $22,500, jointly and severally. According to the findings, the firm, acting through Ehling, failed to file timely its annual audited reports. The regulators also found that the firm, acting through Ehling, contravened SEC Rule 15c3-1 in that it utilized the instrumentalities of interstate commerce to conduct a securities business while failing to maintain minimum net capital. Additionally, the firm, acting through Ehling, failed to prepare accurate net capital computations. The firm accepted the fine and censure but did not admit or deny the accusations. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C04040044)

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