2020065572901 Howell Gregory Ferguson CRD 4400990 AWC DM (2022-1647044416845).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065572901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Howell Gregory Ferguson (Respondent)
Former General Securities Representative
CRD No. 4400990
Pursuant to FINRA Rule 9216, Respondent Howell Gregory Ferguson submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
202006530101 Buy the Block CRD 287496 Linda Pierre Smith CRD 6768264 AWC DM (2022-1647044416554).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020065330101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Buy the Block (Respondent)
Funding Portal Member
CRD No. 287496
Linda Pierre Smith (Respondent)
Associated Person of a Funding Portal Member
CRD No. 6768264
Pursuant to FINRA Rule 9216, Respondents Buy the Block and Linda Pierre Smith submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Certified Life Field Underwriter
Certified Life Field Underwriter (CLFU)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization. |
| Issuing Organization | Inter-American Institute of Insurance |
| Qualification and Training Requirements | |
| Prerequisites | None |
| Designation Training Requirements | Complete 1 elective and 5 required online, self-study courses, including 1 ethics course |
| Designation Exam Type | Online, proctored, closed-book course final exams |
| Continuing Education Requirements | 10 hours plus an anti-money laundering and an ethics course every 2 years |
| Verification and Complaints | |
| Online Designation Resource | Online at Professional Designation Check |
| Investor Complaint Process | Online at File a Complaint |
| Published List of Disciplined Designees | Online at Search Sanctioned and Disciplined Individuals by Country |
19-00633(2).pdf
order to confirm
Certified Digital Asset Advisor
Certified Digital Asset Advisor (CDAA)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization. |
| Issuing Organization | PlannerDAO |
| Qualification and Training Requirements | |
| Prerequisites | None |
| Designation Training Requirements | 12-hour training course |
| Designation Exam Type | Online, open-book exam |
| Continuing Education Requirements | 12 hours of CDAA-approved coursework (must include 2 hours of compliance education) |
| Verification and Complaints | |
| Online Designation Resource | Online search tool at Find a Certified Digital Asset Advisor |
| Investor Complaint Process | Submit complaint form online |
| Published List of Disciplined Designees | None |