2022075769001 Fabio Peter La Rosa CRD 4424304 AWC lp (2025-1739751600860).pdf

Between November 2019 and December 2020, while associated with Morgan Stanley, La Rosa processed 15 transfers of funds totaling $90,700 from the trust accounts established for Customers A and B, a married couple, to their joint brokerage account upon instructions given to him by Customer A, who was not authorized to direct transactions in the trust accounts. By this conduct, La Rosa made unauthorized transactions in violation of FINRA Rule 2010 and is suspended for one month and fined $5,000.

2022073340901 Justin W. Pagel CRD 2554168 AWC vr (2025-1739751600863).pdf

Between January 2014 and August 2023, while associated with Feltl & Company, Pagel recommended that four customers invest all or a significant portion of their assets at the firm in speculative, high-risk stocks, or engage in short-term trading, that was not in the customers’ best interest or was unsuitable. By this conduct, Pagel willfully violated Rule 15l-1(a)(1) of the Securities Exchange Act of 1934 (Regulation BI) (for activity on or after June 30, 2020) and violated FINRA Rule 2111 (for activity prior to June 30, 2020) and FINRA Rule 2010.

CFWP

Certified Financial Wellness Professional (CFWP)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Foundation for Financial Wellness
Qualification and Training Requirements
Prerequisites

Candidates must have five years of experience in financial services or related field.
Designation Training Requirements

Online, self-paced or in-person training course
Designation Exam Type

Online or in-person open-book course exam
Continuing Education Requirements

10 hours annually
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

None
Published List of Disciplined Designees

None

Registration Systems Foundation Training (Virtual)

Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.

Attendance is limited to member-firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.

2022076201601 Christopher M. Chiampas CRD 6903399 AWC gg (2025-1739665206359).pdf

In May 2022, Chiampas willfully failed to disclose a customer complaint on his Uniform Application for Securities Industry Registration or Transfer (Form U4). In June 2022, he settled with the customer away from his firm. By willfully failing to disclose the complaint, Chiampas violated Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rules 1122 and 2010. By settling the dispute without knowledge of his firm, he violated FINRA Rule 2010. He is suspended in all capacities for six months and fined $10,000.

2020066754701 Wall Street Access CRD 10012 AWC lp (2025-1739665206428).pdf

Between October 2019 and April 2021, Wall Street Access (WABR) violated Rule 611(c) of Regulation National Market System (NMS) of the Securities Exchange Act of 1934 and FINRA Rule 2010 by failing to take reasonable steps to establish that the intermarket sweep orders (ISOs) it routed to certain market centers met the requirements for an ISO. The firm also failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to prevent trade-throughs, in violation of Rule 611(a) of Regulation NMS and FINRA Rules 3110 and 2010.
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