FINRA alleged that it has opened an investigation into David K. Franklin of New York, NY after he was criminally charged with “Conspiracy to Commit Health Care Fraud” and “Conspiracy to Commit Money Laundering” in May 2025.  FINRA then alleged that Franklin refused to cooperate with their investigation.  The investment fraud and FINRA Arbitration law firm of Israels & Neuman is conducting case reviews to determine if Integral Wealth Securities customers can recover their money.

It is a violation of FINRA Rule 8210 to refuse to respond to or cooperate with a FINRA investigation.  Violations of this Rule often result in suspensions or expulsions from the securities brokerage industry, and Franklin was barred by FINRA.

History of David Franklin

David Franklin was affiliated with Integral Wealth Securities from August 2018 to June 2025.  He worked in a New York City office.

Responsibility of Integral Wealth Securities

Under FINRA Rule 3110, broker-dealers like Integral Wealth Securities must reasonably supervise the activities of their representatives.  If a firm does not adequately supervise their representatives, it could be liable to customers for any investor harm.

Israels & Neuman represents investors in New York who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you were a client of David Franklin and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View David Franklin FINRA AWC
• View his BrokerCheck Report

Contact Israels & Neuman for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about recovering the money you deserve.