FINRA Is Open

2020066956001 Vanguard Marketing Corporation CRD 7452 AWC lp (2022-1670199608143).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066956001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vanguard Marketing Corporation (Respondent) Member Firm CRD No. 7452 Pursuant to FINRA Rule 9216, Respondent Vanguard Marketing Corporation (VMC) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070327601 Bruce Lavar Davis CRD 5602776 AWC va (2022-1670199608191).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070327601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bruce Lavar Davis Former General Securities Representative CRD No. 5602776 Pursuant to FINRA Rule 9216, Respondent Bruce Lavar Davis (Davis) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FBS

Certified Financial Behavior Specialist (FBS)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Financial Psychology Institute
Qualification and Training Requirements
Prerequisites

Candidates must have:

  • bachelor’s degree or higher from a regionally accredited institute of higher learning;
  • certificate in Financial Psychology & Behavioral Finance or related field; and
  • two letters of recommendation from professionals who are familiar with financial psychology or financial therapy and with the candidate’s work.
Designation Training Requirements

None
Designation Exam Type

None
Continuing Education Requirements

20 hours of CE every two years
Verification and Complaints
Online Designation Resource

Online at Find an FBS
Investor Complaint Process

Submit complaints via email to [email protected] or mail to Financial Psychology Institute c/o Brenda Anderson, PO Box 1072, La Grange Park, IL 60526.

 
Published List of Disciplined Designees

Online at FBS Certificant Holders Currently Under Suspension

Psychology of Financial Planning Specialist

Psychology of Financial Planning Specialist (PFPS)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Financial Psychology Institute
Qualification and Training Requirements
Prerequisites

None
Designation Training Requirements

Nine hours of online instructional content
Designation Exam Type

Online, non-proctored exam
Continuing Education Requirements

Three hours of CE and an exam every two years
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

Submit complaints via email to [email protected].
Published List of Disciplined Designees

None

2019062118301 Wedbush Securities Inc. CRD 877 AWC gg (2022-1670113200521).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062118301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wedbush Securities Inc. (Respondent) Member Firm CRD No. 877 Pursuant to FINRA Rule 9216, Respondent Wedbush Securities Inc. 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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