David Wong

04/21/2025: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID WONG (CRD No. 4689031), Respondent. Disciplinary Proceeding No. 2021069373001 Hearing Officer–MC HEARING PANEL DECISION April 21, 2025 Respondent David Wong is barred from associating with any FINRA member firm in any capacity for converting and misusing customer funds.

05/07/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2021069373001 Department of Enforcement, Complainant, v. David Wong, CRD No. 4689031, Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent David Wong, while associated with FINRA member firm Integrity Brokerage, LLC, converted and misused approximately $9,500 in customer funds on two separate occasions. 2. In March 2022, Wong converted and misused $3,230.75—100% of the funds in an Integrity Brokerage Roth IRA account belonging to Customer A—when he transferred Customer A’s funds into Integrity’s own bank account. 3. Similarly, in January 2023, Wong converted and misused $6,200 from a trust account established for the benefit of Customers B and C when he transferred the account’s funds into Integrity’s bank account.

Reference 2021069373001data-portal.finra.orgfinra.orgdata-portal.finra.org