FINRA Virtual Diversity Leadership Summit
Building Strategies to Build Bridges
For more than a decade, FINRA has hosted the Diversity Leadership Summit, a free event that brings together diversity practitioners and industry leaders to share innovative ideas and effective practices to promote diversity, equity and inclusion in the workplace. Join us this fall to:
CBDA
Certified in Blockchain and Digital Assets (CBDA)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Digital Assets Council of Financial Professionals |
| Qualification and Training Requirements | |
| Prerequisites | None |
| Designation Training Requirements | 15-hour online self-study course |
| Designation Exam Type | Online, open-book course quizzes |
| Continuing Education Requirements | One hour annually |
| Verification and Complaints | |
| Online Designation Resource | None |
| Investor Complaint Process | Submit complaints online at https://dacfp.com/complaint/. |
| Published List of Disciplined Designees | None |
2021070487501 Concorde Investment Services, LLC CRD 151604 AWC gg (2023-1693095612528).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO.2021070487501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Concorde Investment Services, LLC (Respondent)
Member Firm
CRD No. 151604
Pursuant to FINRA Rule 9216, Respondent Concorde Investment Services, LLC submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.
2023078420501 Robert Charles Starnes CRD 1429794 AWC gg (2023-1693095605080).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078420501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Robert Charles Starnes (Respondent)
Former General Securities Representative and Investment Company and Variable
Contracts Products Representative
CRD No. 1429794
Pursuant to FINRA Rule 9216, Respondent Robert Charles Starnes submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2018060897302 Darren M. Kubiak CRD 1239086 Complaint gg (2023-1693095605072).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
Department of Enforcement,
Complainant,
v.
Darren M. Kubiak
CRD No. 1239086, Respondent.
Disciplinary Proceeding
No. 2018060897302
COMPLAINT
The Department of Enforcement alleges:
SUMMARY
1. Respondent Darren M. Kubiak (“Kubiak”) failed to appear and provide testimony requested pursuant to FINRA Rule 8210 on two occasions. As a result, Kubiak violated FINRA Rules 8210 and 2010.
RESPONDENT AND JURISDICTION
2.