MARC NATHAN JAFFE

08/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040339501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Marc N. Jaffe, Respondent General Securities Representative CRD No. 2187547 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Marc N. Jaffe ("Respondent" or "Jaffe") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2014040339501data-portal.finra.orgfinra.org

04/22/2020: 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

11/04/2020: 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 Hearing Officer—LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 4, 2020 INTRODUCTION Disciplinary Proceeding No. 2018056436001 was filed on April 22, 2020, by the Department

Reference 2018056436001data-portal.finra.orgdata-portal.finra.orgfinra.org