Joshua Helmle Subject of a FINRA Bar and Multiple Investor Disputes

Joshua Helmle (CRD #:2195760), a broker formerly registered with Integrity Brokerage, has been barred by FINRA, according to his  BrokerCheck Record, accessed on August 4, 2025. Keep reading if you have concerns regarding his alleged conduct. 

Regulatory Action 

On April 3, 2025, FINRA alleged that Joshua Helmle failed to comply with an arbitration award. You can read a copy of the arbitration details here. 

Investor Allegations 

On December 29, 2023, investors alleged that Joshua Helmle engaged in fraud and made fraudulent misrepresentations related to GWG L Bonds. A FINRA Award found him liable for $65,000, but he had not paid the award as of April 3, 2025.

Employment Resignation Details

On December 17, 2020, Joshua Helmle was permitted to resign from his position at Integrity Brokerage following an internal investigation into Joshua Helmle’s performance of supervisory responsibilities, potential breach of firm procedures, unauthorized representation of the firm in a disciplinary proceeding, and prior alleged misconduct in an enforcement proceeding. 

FINRA Bar

On April 22, 2020, Joshua Helmle was barred by FINRA after being named in a FINRA complaint. According to the allegations, Joshua Helmle permitted a statutorily disqualified person to engage in securities transactions. 

Statutory disqualifications include certain misdemeanors and felonies. 

Joshua Helmle also consented to a $10,753.33 fine.

Background Information

Joshua Helmle has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 55 – Limited Representative-Equity Trader Exam
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination
• Series 28 – Introducing Broker/Dealer Financial Operations Principal Examination
• Series 53 – Municipal Securities Principal Examination
• Series 4 – Registered Options Principal Examination
• Series 24 – General Securities Principal Examination

Besides Integrity Brokerage, Joshua Helmle has also worked with the following firms:

• Tradeway Securities Group (CRD#:29794)
• D.E. Frey & Company (CRD#:23595)
• Nicholas-Applegate Securities (CRD#:31205)
• Jack White & Company (CRD#:7645)
• Legend Capital Corporation (CRD#:4149)
• Titan/Value Equities Group (CRD#:6359)

Kurta Law Can Help 

If you suffered losses after working with Joshua Helmle, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Please contact us for any questions about how to proceed.