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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.

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