Government Shutdown Information

2018056490313 John Christoforidis CRD 2841315 AWC lp (2024-1726100416518).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056490313 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Christoforidis (Respondent) General Securities Representative CRD No. 2841315 Pursuant to FINRA Rule 9216, Respondent John Christoforidis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022076685501 Michael Darin Dunlap CRD 3029958 AWC lp (2024-1726100414065).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076685501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Darin Dunlap (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 3029958 Pursuant to FINRA Rule 9216, Respondent Michael Darin Dunlap submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

CPFWC

Certified Personal Financial Wellness Consultant (CPFWC)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization National Financial Educators Council (NFEC)
Qualification and Training Requirements
Prerequisites

None
Designation Training Requirements

Online, interactive training courses
Designation Exam Type

Online, proctored final certification exam
Continuing Education Requirements

Recertification required every three years
Verification and Complaints
Online Designation Resource

Online at NFEC Certification Verification
Investor Complaint Process

Online at Report Misconduct/File a Complaint 
Published List of Disciplined Designees

None
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