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Anonymous Comment On Regulatory Notice 26-15
I am an individual investor. I would like to propose that, FINRA should expressly state that a member may not discriminate among customers with the same privileges and access placing substantially the same orders.
2025088064301 Robert Thompson CRD 713539 AWC lp.pdf
Thompson refused to provide information and documents requested pursuant to FINRA
Rule 8210. As a result, Thompson violated FINRA Rules 8210 and 2010 and is barred
from associating with any FINRA member in all capacities.
CIFS
AGZIT Certified Investment Fraud Specialist (AGZIT-CIFS)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Association of Global Compliance & Technology (AGZIT) |
| Qualification and Training Requirements | |
| Prerequisites | None |
| Designation Training Requirements | Online, optional study guide |
| Designation Exam Type | Online, closed-book, final exam |
| Continuing Education Requirements | Three continuing education activities annually |
| Verification and Complaints | |
| Online Designation Resource | Online at Verify a Credential (to check a credential ID) |
| Investor Complaint Process | Submit complaints online via contact page |
| Published List of Disciplined Designees | None |