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21848 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Suitability; Diligence
Matter Type(s): Client Dissatisfaction
Decision Date: 11/11/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct by failing to inform a husband and wife who were his investment advisory clients of an impending lapse of life insurance policies he had previously sold to them while acting as their insurance broker.

21874 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Suitability; Arbitration; Misrepresentation
Matter Type(s): CFP Board
Decision Date: 11/11/2008
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was the subject of a client complaint related to the liquidity of an Auction Rate Security.

27228 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Client's Best Interest; Suitability
Standard(s) Violated: Article Article 3(f); 607; 704; 406; 701; 606(a); 606(b); 202; 201
Matter Type(s): FINRA Arbitration
Decision Date: 07/27/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he did not respond to a Complaint issued to him by CFP Board.

28017 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Suitability
Matter Type(s): Client Dissatisfaction
Decision Date: 04/02/2013
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he purchased two variable annuities for an elderly client who was originally invested in Certificates of Deposit (“CDs”).

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