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23348 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Fiduciary Duty; Failure to Notify CFP Board; Fraud Related to Professional Activity; Misappropriation; Failure to Respond to CFP Board; Fitness; Professional Discipline; Professionalism; Interim Suspension; Forgery; Securities Laws Violation
Standard(s) Violated: Article 606(a); 102; 401(a); 607; Article 3(a); Article 3(e); 103(e); 201; 606(b)
Matter Type(s): SEC Discipline
Decision Date: 07/23/2010
Summary: Whether a CFP ® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she did not respond to a Complaint issued to her by CFP Board.

28392 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Customer Complaints; Settlement; Forgery; Misappropriation; Unauthorized Transaction
Standard(s) Violated: Article 4.4; 3.5; 4.1; 1.4; 3.4; 6.5; 3.8
Matter Type(s): Client Dissatisfaction
Decision Date: 11/08/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he forged his clients’ signatures in letters to a bank in order to misappropriated his clients’ assets for his own personal use by transferring the clients’ assets to his personal account.

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