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30952 – Anonymous Case History
Decision: Remedial-CE; Private Censure
Keyword(s): Failure to Register
Standard(s) Violated: Article Article 3(a); 4.3
Matter Type(s): State Regulatory Action
Decision Date: 06/12/2018
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he served as an Registered Investment Advisor (“RIA”) and Investment Adviser Representative (“IAR”) prior to completing the state registration process.


17604 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professional Discipline; Professionalism; Advertising; Failure to Respond to CFP Board; Settlement; Failure to Register
Standard(s) Violated: Article 607; 201; 102; Article 3(f); 401(b); 606(a); 101(a); 401(a)
Matter Type(s): Professionalism
Decision Date: 08/08/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he did not respond to a Settlement Offer issued to him by CFP Board.

21319 – Anonymous Case History
Decision: Suspension
Keyword(s): Professional Discipline; Misrepresentation; Failure to Register; Failure to Respond to CFP Board; Professionalism
Standard(s) Violated: Article 101(b); 606(b); 612; Article 3(g); 607; 606(a); Article 3(f)
Matter Type(s): Other Professional Discipline
Decision Date: 11/07/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he conducted unregistered financial planning seminars about insurance products without identifying himself as an insurance producer, offered inducements to purchase financial planning services and conducted business in an unregistered branch office.

21725 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Register; Professionalism; Client's Best Interest; Borrowing from Client; Interim Suspension; Failure to Respond to CFP Board; Suitability
Standard(s) Violated: Article Article 3(f); Article 3(a); 606(b); 607; 201; 202; 703
Matter Type(s): Client Dissatisfaction
Decision Date: 08/08/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) did not prepare a financial plan for a client (“Client”) after agreeing to do so; 2) borrowed money from the Client; 3) recommended and sold a viatical to the Client, who was 85 years old at the time, when Respondent was not licensed to do so; and 4) did not provide an Answer to CFP Board’s Complaint.

21727 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Securities Laws Violation; Failure to Register
Matter Type(s): Other Professional Discipline
Decision Date: 03/27/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he engaged in trades without first registering his new broker-dealer firm (“Firm”) in the state where the Firm is located.

24269 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Failure to Register
Standard(s) Violated: Article Article 3(a); 606(a); 606(b); 607; 201
Matter Type(s): Other Professional Discipline
Decision Date: 08/16/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) conducted business as an investment advisor in the state without being properly registered; 2) failed to properly renew his employee’s investment adviser representative license for one year; 3) failed to timely file an annual amendment to his firm’s Form ADV; and 4) failed to timely amend the firm’s Form ADV after making material changes to the Form ADV Part II.

29328 – Anonymous Case History
Decision: Private Censure
Keyword(s): Professional Discipline; Failure to Register; Supervision; Disclosure to Clients
Standard(s) Violated: Article 4.6; 6.5; 4.3
Matter Type(s): Other Professional Discipline
Decision Date: 04/10/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) allowed an employee to act as an investment adviser representative without registration as an investment adviser representative; 2) failed to ensure that Firm’s annual updating amendments to the Form ADV were filed timely; 3) failed to ensure that Firm provided accurate account statements; 4) failed to amend his Form U4 timely to reflect the change of his residential address; 5) failed to ensure that Firm’s owners were properly disclosed on Form ADV; 6) failed to supervise Firm and his designee, JE, by virtue of his failure to ensure that the firm’s requisite annual reviews were conducted annually (i.e., 2011 and 2012), and when they were conducted (i.e., 2009 and 2010), they were reasonably designed to detect the numerous failures cited by SSC; and 7) entered into the Order with the SSC regarding violations of state securities laws and regulations.

29339 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Failure to Register; Professional Discipline
Standard(s) Violated: Article 4.3
Matter Type(s): Other Professional Discipline
Decision Date: 05/06/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she conducted investment advisory business in State without registering as an investment advisor representative with the State Office of Financial Regulation from 2010 through 2013 in violation of State Statutes.

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