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28139 – Anonymous Case History
Decision: Suspension
Keyword(s): Disclosure to CFP Board; Diligence; Professional Discipline
Standard(s) Violated: Article 606(b); 201; 6.4; 606(a); 701; 607
Matter Type(s): Other Professional Discipline
Decision Date: 04/02/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) signed and issued an audit opinion letter as a “CPA” in State 1, when Respondent was not licensed in the state as a CPA with the State 1 CPA Board; 2) stated that he had performed an audit of Company 1, when he did not; and 3) did not have any working papers or any other audit documentation to support the audit opinion he signed and issued on behalf of Company 1.

28285 – Anonymous Case History
Decision: Suspension
Keyword(s): Conflict of Interest; Professional Discipline; Outside Business Activity; Commission/Compensation; Employer Policy Violation; Client's Best Interest
Standard(s) Violated: Article 2.2(b); 6.5; 1.4; 5.1; 4.4; 4.3
Matter Type(s): FINRA Discipline
Decision Date: 09/10/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) engaged in an outside business activity without providing notice and receiving prior written approval from his Firm; and 2) falsely certified to his broker-dealer that he was not engaged in outside business activity.

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