Page 1 of 1
30674 – Anonymous Case History
Decision: Private Censure
Keyword(s): Settlement; Client-Agreement-Forms; Record-Keeping
Standard(s) Violated: Article Article 3(a); 4.3
Matter Type(s): Regulatory Action
Decision Date: 06/01/2018

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he failed to produce completed client Agreements for five clients to a state regulatory division.

Page 1 of 1