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19872 – Anonymous Case History
Decision: Suspension
Keyword(s): Fitness; Misrepresentation; Advertising; Disclosure to Clients; Professional Discipline; Fraud Related to Professional Activity; Diligence
Standard(s) Violated: Article Article 3(a); 101(b); 201; 402; 607; 606(b); 102; 606(a); 705; 401(a)
Matter Type(s): Professionalism
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he knowingly offering securities despite inaccurate financial projections set forth in a private placement memorandum.

19875 – Anonymous Case History
Decision: Private Censure
Keyword(s): Diligence; Fitness; Professionalism; Fraud Related to Professional Activity; Misrepresentation; Professional Discipline; Advertising; Disclosure to Clients
Standard(s) Violated: Article 102; 401(a); 402; 201; 606(a); Article 3(a); 606(b); 607; 101(b)
Matter Type(s): Professionalism
Decision Date: 07/22/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she knowingly offered securities despite inaccurate financial projections set forth in a private placement memorandum.

22986 – Anonymous Case History
Decision: Suspension
Keyword(s): Interim Suspension; Professional Discipline; Outside Business Activity; Misrepresentation; Professionalism; Disclosure to Clients; Employer Policy Violation; Fraud Related to Professional Activity; Suitability; Disclosure to CFP Board
Standard(s) Violated: Article 612; Article 3(e); 607; Article 3(a); 201; 606(a); 401(a); Article 3(d); 102; 606(b)
Matter Type(s): FINRA Discipline; Other Professional Discipline
Decision Date: 12/08/2010
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: 1) engaged in outside business activities without obtaining written approval from her employer; 2) did not notify CFP Board of her suspension; 3) recommended that her clients invest in promissory notes issued by her son’s company; and 4) did not disclose risks and other material and relevant information regarding the promissory notes to her clients.

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