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Integrity Brokerage, LLC David Wong – Statement of Charges – S-24-3831-25-SC01

Case summary

On October 20, 2025, the Washington State Department of Financial Institutions Division of Securities entered a Statement of Charges (S-24-3831-25-SC01) against Integrity Brokerage, LLC David Wong.

Order details

Order File: S-24-3831-25-SC01

Laws & Rules: RCW 21.20.110, WAC 460-24C-210

Penalties/Remedies:

  • Revoke registrations
  • Deny future registrations

Allegations

  • Respondents initiated 3 unauthorized withdrawals totaling $9,430 from 3 customers’ accounts.
  • Respondents engaged in dishonest or unethical business practices by making the unauthorized transactions.

The Respondents have a right to request a hearing on the Statement of Charges.  

Order file

View order file