2023077681201 Richard DiArenzo CRD 2752676 AWC lp (2023-1702599595822).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077681201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard DiArenzo (Respondent) Former General Securities Representative CRD No. 2752676 Pursuant to FINRA Rule 9216, Respondent Richard DiArenzo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021071152401 Royal Gregory Fisher CRD 3230753 AWC lp (2023-1702599595821).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071152401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Royal Gregory Fisher (Respondent) Investment Company and Variable Contracts Products Representative (IR) CRD No. 3230753 Pursuant to FINRA Rule 9216, Respondent Royal Gregory Fisher submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022075458801 H.C. Wainwright & Co., LLC CRD 375 AWC lp (2023-1702599595844).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075458801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: H.C. Wainwright & Co., LLC (Respondent) Member Firm CRD No. 375 Pursuant to FINRA Rule 9216, Respondent H.C. Wainwright & Co., LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SE-AWMA

Sports and Entertainment Accredited Wealth Management Advisor (SE-AWMA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization College for Financial Planning – a Kaplan Company
Qualification and Training Requirements
Prerequisites

None
Designation Training Requirements

Online, self-study SE-AWMA course and exam to be completed within 120 days of receiving program access; instructor-led option based on availability
Designation Exam Type

Online, closed-book final exam
Continuing Education Requirements

16 hours every two years
Verification and Complaints
Online Designation Resource

Online at Find a Financial Advisor
Investor Complaint Process

Complete complaint form, and send it via mail to the College for Financial Planning, Attn: Ethical Conduct Committee, 9000 E. Nichols Ave, Ste 200, Centennial, CO 80112, or fax to 602-626-2466.
Published List of Disciplined Designees

Online under Standards of Conduct - Disciplinary Actions

2022075150801 Jilena Yuen-Mok CRD 6115674 AWC vr (2023-1702599600737).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075150801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jilena Yuen-Han Mok (Respondent) General Securities Representative CRD No. 6115674 Pursuant to FINRA Rule 9216, Respondent Jilena Yuen-Han Mok submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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