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31039 – Anonymous Case History
Decision: Private Censure
Keyword(s): Employer Policy Violation; Professionalism; Professional Discipline; Forgery; Forged-Client-Signatures
Standard(s) Violated: Article 5.1; 4.4; 4.3
Matter Type(s): Termination; Employer Action; Customer Complaint; Professional Organization Disciplinary Action; FINRA Discipline
Decision Date: 02/01/2019
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he altered customer signatures on automated customer account transfer forms and mutual fund switch forms to process transactions.


30941 – Anonymous Case History
Decision: Suspension
Keyword(s): Misrepresentation; Forgery
Standard(s) Violated: Article 5.1; 4.4; 4.3; 2.1
Matter Type(s): Employer Action
Decision Date: 10/01/2018
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he signed a client’s name on two checks without her knowledge or permission and presented the checks to his firm for deposit without obtaining the firm’s permission for signing on the client’s behalf.


29370 – Anonymous Case History
Decision: Private Censure
Keyword(s): Employer Policy Violation; Forgery
Standard(s) Violated: Article Article 3(a); 6.5; 5.1; 4.3
Matter Type(s): Employer Action; Other Professional Discipline
Decision Date: 06/01/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he notarized a form without witnessing the client signing the form.
 

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