David Wei Wong of Los Angeles, California, the owner and CEO of Integrity Brokerage LLC, has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a complaint alleging that Wong misused and converted customer funds. Department of Enforcement v. David Wong, Complaint No. 2021069373001 (May 7, 2024). FINRA Department of Enforcement alleged…
Michael Raymond Frager of La Jolla, California, a stockbroker registered with Integrity Brokerage Services Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $125,000.00 in damages based upon allegations that Frager made an unsuitable investment recommendation in corporate bonds when Frager was associated with Integrity…
Joshua Nathan Helmle of Monterey Park, California, a stockbroker and Chief Compliance Officer of Integrity Brokerage Services Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $489,862.00 in damages based upon allegations that Helmle failed to supervise the customer relating to…
Integrity Brokerage Services and its owner Joshua Helmle have been sanctioned by Financial Industry Regulatory Authority (FINRA) based upon an Extended Hearing Panel Decision containing findings that the firm and Helmle allowed a broker named Marc Jaffe to associate with the firm knowing that the broker had been sanctioned and disqualified by FINRA. Department of…
Marc Nathan Jaffe of Indianapolis Indiana a stockbroker unofficially associated with Integrity Brokerage Services Inc. has been isBring FINRA Arbitration Claim Against an Order Accepting Offer of Settlement by FINRA Office of Hearing Officers in which he has been barred from associating with any FINRA member in any capacity supported by findings that he associated…
Integrity Brokerage Services a securities broker dealer headquartered in Indianapolis Indiana, its Chief Executive Officer Joshua Helme, stockbroker Andrea Wood and stockbroker Marc Nathan Jaffe have been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Marc Jaffe engaged in securities business at Integrity Brokerage Services while he was disqualified and that…