Advisor Alert: Our Attorneys Are Investigating David Wei Wong For Investment Fraud
Did You Lose Money Because of David Wong?
Filed: March 13, 2024
David Wong has been the subject of one (1) customer complaint and one (1) investigation. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on David Wei Wong.
Who Is David Wei Wong of Integrity Brokerage, LLC and Integrity Advisers LLC?
- Advisor Name: David Wei Wong
- Aliases: David Wei Wong
- CRD: 4689031
- Location: Los Angeles, California and Seattle, Washington
- Current Employer: Integrity Brokerage, LLC and Integrity Advisers LLC
- Previous Firms: Rance King Securities Corp. and Crewe Capital, LLC
- Number of Known Customer Complaints: 1
- Number of Known Investigations: 1
- Can David Wong Be Sued: Yes, in Private Arbitration
- Can David Wong’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $489,862
- Highest Settlement: $50,000
If you have suffered investment losses by David Wong, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against David Wong For Broker Misconduct
As of this publication date, David Wong has been the subject of 1 customer dispute and 1 investigation. Let’s review it below.
In March 2024, FINRA initiated an investigation against or in reference to David Wong alleging violation of FINRA Rules 2150(a) and 2010 in that Wong improperly used and converted funds from two customer accounts.
In December 2021, a FINRA arbitration was filed against or in reference to David Wong by a customer of Integrity Brokerage, LLC. On August 1, 2020, Mr. Wong purchased Integrity Brokerage Services Inc (“IBSI”) and converted the entity to Integrity Brokerage LLC (“IBL”). On July 15, 2021, the claimants filed arbitration against former registered representative, Jan Earl Haynes (“JEH”), his former broker dealer, Centaurus Financial Inc (“CFI”), IBSI, IBSI’s previous owner and Chief Compliance Officer Joshua Nathan Helmle (“JNH”), and Mr. Wong. JEH was not registered with IBL at the time of ownership change and JNH was terminated by IBL on December 17, 2020 for “employment separation after allegations.” Per the customer, he/she lost over $489,862 because of Mr. Wong’s actions. On March 18, 2022, Mr. Wong settled the claim for $50,000.
How To File A Claim Against David Wong of Integrity Brokerage, LLC and Integrity Advisers LLC (previously with Rance King Securities Corp. and Crewe Capital, LLC) To Get Your Money Back
If you have questions about David Wong, Integrity Brokerage, LLC, Integrity Advisers LLC, Rance King Securities Corp., Crewe Capital, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.