2020066136801 Alan Price CRD 3181061 Order Accepting Offer sl (2022-1645748437046).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Alan Price CRD No. 3181061, Respondent. Disciplinary Proceeding No 2020066136801 Hearing Officer—BEK ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 25, 2022 INTRODUCTION Disciplinary Proceeding No. 2020066136801 was filed on April 1, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Complainant subsequently filed a First Amended Complaint in

2019060991102 BLV Securities CRD 35205 AWC sl (2022-1645748437696).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060991102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BLV Securities (Respondent) Member Firm CRD No. 35205 Pursuant to FINRA Rule 9216, Respondent BLV Securities submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020066805601 Brian Blanco CRD 6423223 AWC jlg (2022-1645748435466).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066805601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Blanco (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6423223 Pursuant to FINRA Rule 9216, Respondent Brian Blanco submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

ChFM

Chartered Financial Manager (ChFM)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Global Academy of Finance & Management (GAFM)
Qualification and Training Requirements
Prerequisites

Candidates must meet both of the following prerequisites:

  • 1) one of the following:
    • qualifying accredited degree in the relevant area of expertise from an ACBSP-, AACSB-, ABA- or CHEA-recognized program;
    • completion of GAFM-approved accredited training program; or
    • CPA, accounting license, law license, MBA, MS, PhD, DBA or JD from an accredited school or organization; and
  • 2) three years of related work experience.
Designation Training Requirements

None
Designation Exam Type

None
Continuing Education Requirements

15 hours annually
Verification and Complaints
Online Designation Resource

Online at Certification Lookup
Investor Complaint Process

Via email or phone. See Membership Complaint – Status and Designations.
Published List of Disciplined Designees

No

CRA

Certified Risk Analyst (CRA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Global Academy of Finance & Management (GAFM)
Qualification and Training Requirements
Prerequisites

Candidates must meet both of the following prerequisites:

  • 1) one of the following:
    • qualifying accredited degree in the relevant area of expertise from an ACBSP-, AACSB-, ABA- or CHEA-recognized program;
    • completion of GAFM-approved accredited training program; or
    • CPA, accounting license, law license, MBA, MS, PhD, DBA or JD from an accredited school or organization; and
  • 2) three years of related work experience.
Designation Training Requirements

None
Designation Exam Type

None
Continuing Education Requirements

15 hours annually
Verification and Complaints
Online Designation Resource

Online at Certification Lookup
Investor Complaint Process

Via email or phone. See Membership Complaint – Status and Designations.
Published List of Disciplined Designees

None

CTFA

Certified Trust and Fiduciary Advisor (CTFA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization American Bankers Association
Qualification and Training Requirements
Prerequisites

Candidates must have:

  • 3 years minimum experience in wealth management and completion of an approved wealth management training program, all within the last 7 years;
  • 5 years minimum experience in wealth management within the last 7 years and a bachelor's degree; or
  • 10 or more years of experience in wealth management, with at least 5 of the 10 years occurring within the last 7 years
Designation Training Requirements

Completion of an approved wealth management training program if having less than 5 years of wealth management experience
Designation Exam Type

Multiple-choice, proctored exam, available online and at test sites
Continuing Education Requirements

45 credits every 3 years
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

None
Published List of Disciplined Designees

None
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