FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2021069373001 Department of Enforcement, Complainant, v. David Wong, CRD No. 4689031, Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent David Wong, while associated with FINRA member firm Integrity Brokerage, LLC, converted and misused approximately $9,500 in customer funds on two separate occasions. 2.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017052438501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Oppenheimer & Co. Inc. (Respondent) Member Firm CRD No. 249 Pursuant to FINRA Rule 9216, Respondent Oppenheimer & Co. Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.