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: