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2023077782601 Commerce Brokerage Services, Inc. CRD 17140 AWC lp (2024-1733530800891).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077782601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Commerce Brokerage Services, Inc. (Respondent) Member Firm CRD No. 17140 Pursuant to FINRA Rule 9216, Respondent Commerce Brokerage Services, Inc. (“Commerce Brokerage”) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022077410101 James C. Stockton CRD 1801686 AWC lp (2024-1733530812975).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077410101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James C. Stockton (Respondent) Investment Company and Variable Contracts Products Representative and Direct Participation Programs Representative CRD No. 1801686 Pursuant to FINRA Rule 9216, Respondent James C. Stockton submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063352402 Tim D. Hemingway CRD 5013252 AWC gg (2024-1733530800889).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063352402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tim D. Hemingway (Respondent) General Securities Representative CRD No. 5013252 Pursuant to FINRA Rule 9216, Respondent Tim D. Hemingway submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063352403 Walter C. Bish CRD 3214712 AWC gg (2024-1733530800885).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063352403 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Walter C. Bish (Respondent) General Securities Representative CRD No. 3214712 Pursuant to FINRA Rule 9216, Respondent Walter C. Bish submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019063352401 Smith, Brown & Groover, Inc. CRD 1329 and Raymond Hill Smith, Jr. CRD 731506 AWC gg (2024-1733530800884).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063352401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Smith, Brown & Groover, Inc. (Respondent) Member Firm CRD No. 1329 Raymond Hill Smith, Jr. (Respondent) General Securities Representative and General Securities Principal CRD No. 731506 Pursuant to FINRA Rule 9216, Respondents Smith, Brown & Groover, Inc.

Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry

In the securities world today, there is little daylight between money laundering and fraud. On this episode, we learn how FINRA’s Special Investigations Unit works to detect and investigate cases of illicit finance and market abuse, as well as how they proactively identify and mitigate threats.

G-CFES

Globally Certified Financial Education Specialist (G-CFES)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization The Global Association of Certified KYC Specialists (GO-AKS)
Qualification and Training Requirements
Prerequisites

Candidates must have:

  • a bachelor’s degree in finance, economics, business, accounting, or a related field from an accredited institution; and
  • a minimum of two years of professional experience in financial education, financial planning, investment advisory or any other role that involves direct interaction with retail investors.

Candidates without a degree in a relevant field may qualify if they possess significant work experience in financial education or related areas.
Designation Training Requirements

Online, self-paced training course
Designation Exam Type

Online, closed-book, proctored exam
Continuing Education Requirements

15 hours annually
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

Via email to [email protected]
Published List of Disciplined Designees

None
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