2015046631101 Robert R. Tweed CRD 2339324 NAC Decision va (2020-1578701976361).pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Robert R. Tweed San Marino, CA, Respondent. Decision Complaint No. 2015046631101 Dated: December 11, 2019 Registered person negligently misrepresented and omitted material facts in connection with the offer and sale of interest in a private investment fund.

2018060504601 William Darby CRD 1659917 AWC jm (2020-1578701997484).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060504601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Darby, Respondent Registered Representative CRD No. 1659917 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent William Darby submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

FRC

Federal Retirement Consultant (FRC)

Designation Essentials
Status Currently offered and recognized by the issuing organization.
Issuing Organization Federation of Federal Employee Benefit Advocates LLC (FFEBA)
Qualification and Training Requirements
Prerequisites

Candidates must meet two of the following requirements:

  1. have either a bachelor’s degree (or higher) in business, finance or economics or a minimum of two years of relevant industry experience;
  2. hold a state insurance license or a Series 6, 7, 24, 65 or 66 registration; and/or
  3. hold one of the following:
    1. Chartered Financial Consultant (ChFC);
    2. Chartered Life Underwriter (CLU);
    3. Certified Financial Planner (CFP);
    4. master’s degree in business, finance or economics;
    5. attorney’s license (JD); or
    6. Certified Public Accountant (CPA).
Designation Training Requirements

Online, self-paced training course
Designation Exam Type

Online, closed-book, proctored final certification exam
Continuing Education Requirements

Six credits annually
Verification and Complaints
Online Designation Resource

Online at FRC Lookup
Investor Complaint Process

Submit complaints online at File a Complaint.
Published List of Disciplined Designees

None
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