Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Integrity Brokerage, LLC. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.
Integrity Brokerage was a retail broker-dealer that earned revenue mainly from securities commissions, along with mutual fund trails, variable annuities, hedge fund fees, and alternative investments, with customer accounts cleared through COR Clearing. Previously operating as Integrity Brokerage Services, a California corporation based in Oceanside, California, the firm was reorganized as a California limited liability company in 2020.
Integrity Brokerage, LLC – By the Numbers:
- CRD #: 117589
- Regulatory Events: 4
- Broker Employees: 10
Integrity Brokerage, LLC – In the News:
FINRA v. Integrity Brokerage, LLC (Case #2018056436001) – FINRA’s Department of Enforcement charged that from February 2016 through April 2020, Joshua Helmle and Integrity Brokerage Services, Inc., the California brokerage firm he founded, owned, and operated for nearly 20 years until selling it in August 2020 (now Integrity Brokerage, LLC), improperly allowed Marc Jaffe to associate with the firm while he was subject to a statutory disqualification. Enforcement also charged that, although Jaffe was unregistered, Helmle and the firm improperly allowed him to engage in activities that required registration. FINRA staff had warned Helmle that Jaffe could not associate with the firm without FINRA’s approval, and FINRA’s Department of Member Regulation recommended denying the firm’s application to permit the association.
Gana Weinstein LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your accounts. Our consultations are free and we welcome all inquiries.