8312. FINRA BrokerCheck Disclosure

(a) In response to a written inquiry, electronic inquiry, or telephonic inquiry via a toll-free telephone listing, FINRA shall release through FINRA BrokerCheck information regarding:
(1) a current or former FINRA member or a current or former member of a registered national securities exchange that uses the Central Registration Depository ("CRD") for registration purposes ("CRD Exchange") (collectively, "BrokerCheck Firms"); or
(2) a current or former associated person of a BrokerCheck Fi

2019064508201 James Lee CRD 1874132 AWC sl (2020-1590279570130).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064508201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) James Lee, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 1874132 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent James Lee (“Lee” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018056436001 Integrity Brokerage Services Inc CRD 117589 et al Complaint sl (2020-1590279568944).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Integrity Brokerage Services, Inc. (CRD No. 117589), Joshua Helmle (CRD No. 2195760), Marc N. Jaffe (CRD No. 2187547), and Andrea Wood (CRD No. 2000589), Respondents. Disciplinary Proceeding No. 2018056436001 COMPLAINT The Department of Enforcement alleges: Summary 1. From February 2016 through the present, Marc Jaffe has been associating with Integrity Brokerage Services, Inc. (“IBS”) and engaging in its securities business despite being

2019063442701 David Weisberg CRD 5610111 AWC sl (2020-1590279569902).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063442701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Weisberg, Respondent CRD No. 5610111 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, David Weisberg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2020-012

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to allow the dissemination through BrokerCheck® of information already publicly disseminated through the SEC’s Investment Adviser Public Disclosure (“IAPD”) database about registered brokers who are, or were, licensed as investment adviser representatives.

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