2018056436001 Integrity Brokerage Services Inc CRD 117589 et al Complaint sl (2020-1590279568944).pdf

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 COMPLAINT The Department of Enforcement alleges: Summary 1. From February 2016 through the present, Marc Jaffe has been associating with Integrity Brokerage Services, Inc. (“IBS”) and engaging in its securities business despite being

2019063442701 David Weisberg CRD 5610111 AWC sl (2020-1590279569902).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063442701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Weisberg, Respondent CRD No. 5610111 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, David Weisberg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2020-012

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to allow the dissemination through BrokerCheck® of information already publicly disseminated through the SEC’s Investment Adviser Public Disclosure (“IAPD”) database about registered brokers who are, or were, licensed as investment adviser representatives.

SR-FINRA-2020-012

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to allow the dissemination through BrokerCheck® of information already publicly disseminated through the SEC’s Investment Adviser Public Disclosure (“IAPD”) database about registered brokers who are, or were, licensed as investment adviser representatives. The proposed rule change also would make non-substantive, technical changes to FINRA Rule 8312.

201805853701 Paul David Weiss CRD 1849504 AWC VA (2020-1590193166907).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058537301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul David Weiss, Respondent Former General Securities Principal CRD No. 1849504 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Paul David Weiss submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019061056803 Yee Htwe CRD 6437691 AWC sl (2020-1590193166628).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061056803 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Yee Htwe, Respondent Former Registered Representative CRD No. 6437691 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Yee Htwe, submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063224501 Jeffrey Hall Heely CRD 1188842 AWC sl (2020-1590193166826).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063224501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Hall Heely Former General Securities Representative CRD No. 1188842 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Jeffrey Hall Heely submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Subscribe to