Securities Lawyers Blog
The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Integrity Alliance, LLC., to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.
Integrity Alliance is a dually registered broker-dealer and investment adviser that offers securities brokerage, wrap and non-wrap asset management programs, retirement plan consulting, and financial planning through independent financial professionals. Headquartered in Urbandale, Iowa, the firm began operations in 2006 as Brokers International Financial Services, took its current name in 2024 as an indirect wholly owned subsidiary of Integrity LLC, and later absorbed the broker-dealer Lion Street Financial.
Integrity Alliance, LLC. – By the Numbers:
- CRD #: 139627
- Regulatory Events: 3
- Arbitration Events: 1
- Broker Employees: 622
Integrity Alliance, LLC. – Investment Advisors:
- SEC #: 69742
- Assets Under Management: $5,411,976,879
- ADV Form Employee: 400
Integrity Alliance, LLC. – In the News:
FINRA v. Integrity Alliance, LLC. (Case #2020066257301) – Between October 2018 and July 2020, BIF failed to establish, maintain, and enforce a supervisory system, including written procedures, reasonably designed to supervise the outside brokerage accounts disclosed by its registered representatives pursuant to FINRA Rule 3210. As a result, BIF violated FINRA Rules 3110 and 2010.
Our attorneys have successfully represented hundreds of investors in investment disputes with their brokers and brokerage firms. Our consultations are free and we welcome all inquiries.