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16836 – Anonymous Case History
Decision: Private Censure
Keyword(s): Diligence; Record-Keeping; Client Neglect; Suitability; Arbitration
Standard(s) Violated: Article 701; 201; Article 3(a)
Matter Type(s): Client Dissatisfaction
Decision Date: 04/07/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) implemented an aggressive investment strategy for an elderly client (“Client”); 2) did not inform the Client that she had unrealistic investment expectations; 3) did not review the Client’s accounts after implementing the investment; and 4) did not respond to the Client’s calls.

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