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FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Integrity Brokerage Services, Inc. (CRD No. 117589), Joshua Helmle (CRD No. 2195760), Marc N. Jaffe (CRD No. 2187547), and Andrea Wood (CRD No. 2000589), Respondents. Disciplinary Proceeding No. 2018056436001 Hearing Officer—LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 4, 2020 INTRODUCTION Disciplinary Proceeding No. 2018056436001 was filed on April 22, 2020, by the Department

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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066414701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lucas Mandon King (Respondent) Former Investment Company Shares and Variable Contracts Representative CRD No. 6424176 Pursuant to FINRA Rule 9216, Respondent submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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