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30876 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Securities Laws Violation
Standard(s) Violated: Article Article 3(d); 4.4; 4.3; 4.1; 2.1
Matter Type(s): Other Professional Discipline
Decision Date: 10/01/2018

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he allocated block trades in a manner inconsistent with his firm’s disclosed trading policy.

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