Nex Systems
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Andrea Wood

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    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

    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

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

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