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28691 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Unauthorized Transaction; Employer Policy Violation
Standard(s) Violated: Article Article 3(a); 6.5; 5.1; 4.4; 4.3
Matter Type(s): Employer Action; FINRA Regulatory Action
Decision Date: 03/01/2015
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he executed nine purchase transactions in the client’s account without written authorization, in violation of his firm’s policy, National Association of Securities Dealers (“NASD”) Rule 2510(b) and Financial Industry Regulatory Authority, Inc. (“FINRA”) Rule 2010.


30640 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Unauthorized Transaction
Standard(s) Violated: Article 4.3; 5.1; Article 3(a); Article 3(d); Article 3(g)
Matter Type(s): FINRA Regulatory Action
Decision Date: 10/18/2017
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he exercised discretion without written authorization in numerous customer accounts. 


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