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30309 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Employer Policy Violation; Commission/Compensation; Professional Discipline
Standard(s) Violated: Article 6.5; 4.3
Matter Type(s): Regulatory Action
Decision Date: 04/07/2017
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) failed to provide testimony as requested by Financial Industry Regulatory Authority, Inc. (“FINRA”), which resulted in a bar from associating with any FINRA member in any capacity; and 2) failed to timely disclose the FINRA bar to CFP Board.

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