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12637 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Suitability; Fitness; Misuse of the Marks; Settlement; Arbitration; Customer Complaints; Professionalism
Standard(s) Violated: Article 606(b); 601; 607; 4.2; 606(a); 201
Matter Type(s): FINRA Arbitration
Decision Date: 06/21/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: 1) engaged in a pattern of recommending that clients invest their entire retirement savings in unsuitable variable annuities and sub-account allocations, as evidenced by four National Association of Securities Dealers (“NASD,” now known as the Financial Industry Regulatory Authority, Inc. or “FINRA”) arbitrations; and 2) when she used “cfp” after her name on her Web site.

15094 – Anonymous Case History
Decision: Suspension
Keyword(s): Misuse of the Marks; Lawsuits Involving Financial Matters; Arbitration; Customer Complaints; Disclosure to Clients; Suitability; Diligence; Professionalism; Misrepresentation
Standard(s) Violated: Article Article 3(a); 607; 601; 201; 704; 606(b); 701; 102
Matter Type(s): FINRA Arbitration
Decision Date: 08/11/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) recommended variable annuities to elderly clients; and 2) omitted the registered trademark symbol when referring to CFP® on his letterhead, certification salutations and documents.

22544 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; Disclosure to CFP Board; Misuse of the Marks
Standard(s) Violated: Article Article 3(g); 601; Article 3(a); 606(b)
Matter Type(s): Criminal Court; CFP Board
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: 1) failed to report to CFP Board that she was a defendant in a criminal proceeding; and 2) misused the CFP® certification marks.

23335 – Anonymous Case History
Decision: Private Censure
Keyword(s): Unauthorized Transaction; Disclosure to Clients; Professionalism; Diligence; Breach of Contract; Arbitration
Standard(s) Violated: Article Article 3(a); 606(b); 201; 701; 607
Matter Type(s): FINRA Arbitration; Client Dissatisfaction
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he repeatedly purchased securities in a non-discretionary account without authorization from the client (“Client”).

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