Securities Lawyers Blog
A FINRA disciplinary action against a brokerage firm resolves the regulator’s case, not the customers’ losses. Investors who held accounts at Integral Wealth Securities LLC during the periods covered by the actions below may have claims of their own. The securities arbitration attorneys at Gana Weinstein LLP represent investors in FINRA arbitration against brokerage firms and can review your accounts, free of charge, to tell you whether the conduct FINRA described affected you.
Integral Wealth Securities is a broker-dealer that focuses on private placements of securities, mutual fund wholesaling and corporate advisory services. Organized in Pennsylvania in 2002 and headquartered in New York City, the firm is controlled by Integral Capital Partners and is affiliated with Integral Wealth Securities Limited in Canada.
Integral Wealth Securities LLC – By the Numbers:
- CRD #: 36143
- Regulatory Events: 2
- Broker Employees: 8
Integral Wealth Securities LLC – In the News:
FINRA v. Integral Wealth Securities LLC (Case #2023077014001) – Between April 2021 and February 2025, Integral Wealth Securities failed to timely file with FINRA offering documents related to 18 private placements, in violation of FINRA Rules 5123 and 2010. For these violations, Integral Wealth Securities is censured and fined $20,000.
Our attorneys have successfully represented hundreds of investors in investment disputes with their brokers and brokerage firms, including firms such as Integral Wealth Securities LLC. Our consultations are free and we welcome all inquiries.