15-00333(4).pdf
Motion to Vacate Appeal Denied
19-02802.pdf
NWAWD-New Code Award Template
2019064508201 James Lee CRD 1874132 AWC sl (2020-1590279570130).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2019064508201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
James Lee, Respondent
Former Investment Company and Variable Contracts Products Representative
CRD No. 1874132
Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent James Lee (“Lee” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Technical NoticeUpdate - OTC Transparency Data
April 23, 2020
FINRA experienced an issue on Monday, April 20, 2020 with the display of OTC Transparency Data on the otctransparency.finra.org website for the weeks of March 23 and March 30, 2020. See here for details.
The issue has been resolved and all displays are now accurate.
If you have any questions, please contact FINRA Business Services.
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.
Regulatory Notice 20-13
Summary
The COVID-19 pandemic is affecting most aspects of our society and daily lives, as well as the U.S. economy and markets. Events with such profound impact routinely create opportunities for financial fraud.
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.