Page 1 of 1 , 18 Items in Total
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.


30411 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): DUI/DWI; Third-DUI-Offense; Misdemeanor
Standard(s) Violated: Article Article 3(c); Article 3(a); 6.5
Matter Type(s): Criminal Court; Criminal
Decision Date: 02/01/2018
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of DUI, Second Offense, his third DUI conviction since 1989.  
 

21350 – Anonymous Case History
Decision: Suspension
Keyword(s): Employer Policy Violation; Fraud Related to Professional Activity; Felony-Non-Violent Crime; Misrepresentation; Fitness
Standard(s) Violated: Article 102; 607
Matter Type(s): Criminal Court
Decision Date: 08/03/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct by pleading no contest to a third-degree felony for transmitting materials harmful to a minor, when adjudication was withheld.

22054 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professionalism; Employer Policy Violation; Misdemeanor; Forgery; Settlement; Diligence
Standard(s) Violated: Article Article 3(a); 102; 606(a); 701; 606(b); 607
Matter Type(s): Other Professional Discipline; Criminal Court
Decision Date: 11/25/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) was convicted of driving under the influence and; 2) was asked to resign from a financial services firm (“Firm”) after he photocopied a client’s (“Client”) signature onto a Firm document.

26149 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Felony-Violent Crime
Matter Type(s): Civil Court; Criminal Court
Decision Date: 07/22/2011
Summary: Whether a candidate for ® certification (“Respondent”) could be certified when he pleaded guilty in 1995 to transmitting in interstate commerce a threat to injure another person, a felony.

26835 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Employer Policy Violation; Fitness; Diligence
Matter Type(s): Other Professional Discipline; Criminal Court
Decision Date: 11/30/2011
Summary: Whether a candidate for CFP® certification ("Respondent") could be certified when he was terminated by his firm in 2007 and investigated by the Financial Industry Regulatory Authority, Inc. ("FINRA").

28730 – Anonymous Case History
Decision: Suspension
Keyword(s): Failure to Cooperate with Staff; Felony-Violent Crime; Failure to Respond to CFP Board
Standard(s) Violated: Article 6.1; 6.5
Matter Type(s): Criminal Court
Decision Date: 04/11/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he pleaded guilty to two felony counts of aggravated battery.

30320 – Anonymous Case History
Decision: Private Censure
Keyword(s): Professional Discipline; Failure to Notify CFP Board; Employer Policy Violation
Standard(s) Violated: Article 5.1; 4.3
Matter Type(s): Termination
Decision Date: 11/07/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he processed a variable life insurance settlement exchange transaction through an outside firm without the approval of his firm.

30379 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Forgery; Employer Policy Violation; Professional Discipline
Matter Type(s): Regulatory Action; Termination
Decision Date: 11/29/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) signed a client’s signature on client account documentation; and 2) failed to disclose his termination and a regulatory investigation on his 2012, 2014, and 2016 Ethics Declarations.

31159 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Fitness; Employer Policy Violation; Professionalism; Professional Discipline; Forgery; Forged-Client-Signatures
Standard(s) Violated: Article 6.5; 5.1; 4.4; 4.3
Matter Type(s): Termination; FINRA Discipline; Employer-Investigation
Decision Date: 02/28/2019
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he intentionally forged client’s initials on a transfer of client money form and lied about the forgery to his Manager.


28862 – Anonymous Case History
Decision: Suspension
Keyword(s): Employer Policy Violation; Settlement; Professional Discipline; Outside Business Activity
Standard(s) Violated: Article 5.1; 4.3
Matter Type(s): Termination; FINRA Discipline
Decision Date: 02/01/2019
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he participated in five private securities transactions without providing the required prior written notice to his firm, in violation of NASD Rule 3040 and FINRA Rule 2010.  

30762 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Confidentiality; Employer Policy Violation
Standard(s) Violated: Article Article 3(d); 5.1; 4.3; 3.1
Matter Type(s): Other Professional Discipline; Civil Suit; FINRA Discipline; Termination
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he improperly transferred 87 client files to his son which contained nonpublic information.


30782 – Anonymous Case History
Decision: Private Censure
Keyword(s): Employer Policy Violation; Unauthorized Transaction; Felony-Non-Violent Crime
Standard(s) Violated: Article Article 3(a); Article 3(d); 4.3
Matter Type(s): Employer Action; Criminal; Criminal Court
Decision Date: 02/01/2018
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: (1) performed 40 unauthorized trades in a deceased person’s account; (2) failed to notify his firm of the death of two advisory clients, in violation of firm policy; and (3) accidentally brought a loaded firearm into an international airport and, thereafter, pled guilty to felony charges. 

29801 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Failure to Notify CFP Board; Outside Business Activity; Disclosure to CFP Board; Employer Policy Violation
Standard(s) Violated: Article 6.5; 6.1; 5.1
Matter Type(s): Termination; Regulatory Action
Decision Date: 12/04/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) accepted customer checks made payable to him personally; 2) failed to disclose outside business activities to his Firm; 3) failed to disclose his professional suspension to CFP Board within 30-calendar days; and 4) falsely represented on his CFP Board ethics declaration that his professional license had never been suspended and he had never been terminated for cause.

29863 – Anonymous Case History
Decision: Private Censure
Keyword(s): Revocation of a Financial Professional License; Employer Policy Violation; Securities Laws Violation
Standard(s) Violated: Article 5.1; Article 3(e); Article 3(a); 4.3
Matter Type(s): Termination
Decision Date: 07/21/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he violated: 1) Financial Industry Regulatory Authority, Inc. (“FINRA”) Rule 2010 by sharing his computer password with another employee, submitting inaccurate expense reports and conducting sales contests in a non-approved manner; 2) State 1 Law when he failed to maintain his home state insurance license; and 3) State 2 Law when he failed to: (1) notify State 2 within 30 days of his involvement in the State 1 action; and (2) disclose that he was named as a party in a FINRA arbitration proceeding in 2010.

30060 – Anonymous Case History
Decision: Suspension
Keyword(s): Securities Laws Violation; Employer Policy Violation
Standard(s) Violated: Article 5.1; Article 3(a); 4.3; Article 3(d)
Matter Type(s): Termination
Decision Date: 07/29/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he executed two private securities transactions without obtaining prior approval from, or disclosing the private securities transactions to, Firm.

30197 – Anonymous Case History
Decision: Suspension
Keyword(s): Failure to Notify CFP Board; Employer Policy Violation; Suitability; Professional Discipline
Standard(s) Violated: Article 4.5; 5.1; 4.3; Article 3(a); Article 3(g); Article 3(d); Article 3(e)
Matter Type(s): Regulatory Action; Termination
Decision Date: 04/10/2017
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he failed to make and/or implement only recommendations that are suitable for the client by recommending and selling an unsuitable investment to a brokerage customer who lost money on an investment he admitted was inconsistent with her goals and objectives.

31241 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Employer Policy Violation; Settlement; Misrepresentation; Failure-to-Disclose; Borrowing from Client
Standard(s) Violated: Article 3.6; 5.1; 4.3; 6.1; Article 3(g)
Matter Type(s): State Regulatory Action; Failure to Disclose to CFP Board; Termination
Decision Date: 02/01/2019
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when she and her husband accepted a $500,000 loan from a client without disclosing the loan to her firm.

Page 1 of 1 , 18 Items in Total