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29852 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fee-Only
Standard(s) Violated: Article 5.1; 6.2
Matter Type(s): Other
Decision Date: 11/02/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he twice represented his compensation method as “fee-only” on CFP Board’s “Find a CFP® Professional” search tool even though his RIA is a related party to a firm that sells insurance products to clients for commissions.

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