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25810 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Commission/Compensation
Matter Type(s): FINRA Discipline
Decision Date: 11/28/2011
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he executed several variable life settlement transactions in which he charged commisions that the Financial Industry Regulatory Authority, Inc. ("FINRA") alleged were excessive, unreasonable and unfair.

28296 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Commission/Compensation
Standard(s) Violated: Article 6.5; 2.2(a); 2.1
Matter Type(s): Professionalism
Decision Date: 05/15/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he represented that he was a salaried employee of his firm.

29015 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Fee-Only; Commission/Compensation
Matter Type(s): Other Professional Discipline
Decision Date: 12/17/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he publicly misrepresented his compensation method as “fee only” to clients and prospective clients on CFP Board’s “Find a CFP® Professional” search tool.

Page 1 of 1 , 3 Items in Total