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24716 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Fiduciary Duty; Diligence; Revocation of a Financial Professional License; Fraud Related to Professional Activity; Employer Policy Violation; Professional Discipline; Misrepresentation
Matter Type(s): FINRA Discipline
Decision Date: 08/11/2010
Summary: Whether a candidate for CFP ® certification (“Respondent”) could be certified when he was suspended from association with any member of the National Association of Securities Dealers (“NASD”, now known as the Financial Industry Regulatory Authority or “FINRA”) in any capacity for five months in 2003 and issued a Desist and Refrain Order by the State Department of Corporations.

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