2023077022001 Greenbird Capital LLC CRD 306692 AWC lp (2025-1755994806855).pdf
From May 2021 through December 2023, Greenbird Capital did not establish, maintain,
and enforce a system, including written procedures, reasonably designed to supervise the
firm’s solicitations of private placements and the telemarketing activities of its registered
representatives with respect to the national do-not-call list and calls during prohibited
times. Therefore, the firm violated FINRA Rules 3110, 3230(d) and 2010, and is
censured and fined $50,000.
2024081406301 Francis G. Smith CRD 2223161 AWC gg (2025-1755994806849).pdf
In February 2023, while associated with Commonwealth Financial Network, Smith certified to the State of New York that he had personally completed the continuing education (CE) required to renew his state insurance license, when, in fact, another person had completed that CE on his behalf. Therefore, Smith violated FINRA Rule 2010.
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