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2020067338101 James A. Parrelly CRD 728368 AWC gg (2022-1659054023403).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2020067338101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James A. Parrelly (Respondent) Former General Securities Representative CRD No. 728368 Pursuant to FINRA Rule 9216, Respondent James A. Parrelly submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2019064746502 Worden Capital Management LLC CRD 148366 OHO Decision jlg (2022-1659054022975).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WORDEN CAPITAL MANAGEMENT LLC (CRD No. 148366), Respondent. Disciplinary Proceeding No. 2019064746502 Hearing Officer–MC DEFAULT DECISION June 27, 2022 Respondent Worden Capital Management LLC is expelled from FINRA and ordered to disgorge ill-gotten gains for fraudulently omitting material information in connection with the sales of securities, failing to fulfill its supervisory responsibilities in the sale of securities,

CMIP

Certified Medicare Insurance Planner (CMIP)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Certified Medicare Insurance Planner™, DBA
Qualification and Training Requirements
Prerequisites

Candidates must:

  • be active, licensed health insurance agents with a minimum of seven years of experience and in good standing with their resident state insurance department;
  • have successfully completed seven years of annual Centers for Medicare and Medicaid Services (CMS) required Medicare Advantage/Prescription Drug Plan (PDP) training through AHIP or other CMS-approved training; and
  • agree to abide by Code of Ethics and Violation Policy.
Designation Training Requirements

None

Designation Exam Type

None

Continuing Education Requirements

Annual CMS-approved Medicare Advantage / PDP training

Verification and Complaints
Online Designation Resource

Online at Find an Agent by State

Investor Complaint Process

Submit complaints by calling (833) FOR-CMIP or by emailing [email protected].

Published List of Disciplined Designees

None