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19915 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Diligence; Arbitration; Misrepresentation
Matter Type(s): FINRA Arbitration
Decision Date: 11/11/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he did not deliver requested stock certificates to a client (“Client”) after the Client purchased shares of stock in a company.

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.

22124 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Arbitration; Previous Discipline; Customer Complaints; Professional Discipline
Matter Type(s): CFP Board
Decision Date: 11/07/2008
Summary: Whether a registrant provided sufficient evidence to warrant reinstatement of his CFP® certification following a period of suspension.

Page 1 of 1 , 3 Items in Total