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13221 – Anonymous Case History
Decision: Private Censure
Keyword(s): Arbitration; Competency; Disclosure to CFP Board; Customer Complaints
Standard(s) Violated: Article 612; Article 3(a)
Matter Type(s): FINRA Arbitration
Decision Date: 04/07/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he did not disclose his involvement in a National Association of Securities Dealers arbitration on his Certification Renewal Application.

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.

20942 – Anonymous Case History
Decision: Private Censure
Keyword(s): Record-Keeping; Client Neglect; Diligence; Customer Complaints
Standard(s) Violated: Article 201; Article 3(a); 701
Matter Type(s): Professionalism; Client Dissatisfaction
Decision Date: 11/06/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he did not notify a client (“Client”) that he would not be preparing her tax returns, and did not follow up with the Client regarding her tax returns.

21365 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Securities Laws Violation; Supervision; Record-Keeping; Advertising; Misrepresentation; Continuing Education Violation; Diligence; Disclosure to Clients; Professional Discipline
Standard(s) Violated: Article 401(b); 101(a); 705; 701; 401(a); 606(a); Article 3(a)
Matter Type(s): Professionalism
Decision Date: 08/11/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when a Financial Industry Regulatory Authority investigation showed that he and his company violated securities laws related to the sale of securities on military bases.

22271 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Competency; Other Ethics
Matter Type(s): CFP Board
Decision Date: 11/07/2008
Summary: Whether a registrant provided sufficient evidence to prove by clear and convincing evidence that his CFP® certification should be reinstated following a suspension of one year and one day.

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