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22602 – Anonymous Case History
Decision: Private Censure
Keyword(s): Employer Policy Violation; Confidentiality; Settlement
Standard(s) Violated: Article 502
Matter Type(s): Other Professional Discipline
Decision Date: 08/26/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he removed a client’s file from a branch of his advisory firm (“Advisory Firm”) without the manager’s approval, resulting in his termination from the Advisory Firm and from his broker-dealer.

25939 – Anonymous Case History
Decision: Private Censure
Keyword(s): Outside Business Activity; Professionalism; Professional Discipline
Standard(s) Violated: Article 6.4; Article 3(d); 607; 606(b); 406; 606(a); 407(a); Article 3(a)
Matter Type(s): FINRA Discipline
Decision Date: 10/20/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he failed to disclose outside business activities to his employer.

26289 – Anonymous Case History
Decision: Suspension
Keyword(s): Professional Discipline; Outside Business Activity; Professionalism; Disclosure to CFP Board; Employer Policy Violation
Standard(s) Violated: Article 4.4; Article 3(a); 6.4; 6.5; 5.1
Matter Type(s): FINRA Discipline
Decision Date: 11/10/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: 1) engaged in outside business activities without providing prompt written notice to her employer of her activities, in violation of firm policy, National Association of Securities Dealers (“NASD,” now known as the Financial Industry Regulatory Authority or “FINRA”) Rule 3030 and 2110 and FINRA Rules 3030 and 2010; and 2) failed to notify CFP Board of her FINRA suspension.

28127 – Anonymous Case History
Decision: Suspension
Keyword(s): Securities Laws Violation; Disclosure to CFP Board; Professional Discipline; Outside Business Activity
Standard(s) Violated: Article 6.5; 606(a); 406; 6.4; 606(b)
Matter Type(s): FINRA Discipline
Decision Date: 01/05/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) recommended that a client invest approximately $100,000 in an oil and gas joint venture, outside the scope of Respondent’s relationship with his Firm, and which resulted in the termination of Respondent’s employment; and 2) failed to disclose to CFP Board that he signed a FINRA AWC wherein he consented to a $5,000 fine and suspension from association with any Financial Industry Regulatory Authority, Inc. (“FINRA,” formerly known as the National Association of Securities Dealers or “NASD”) member in any capacity for a period of six months due to his outside business activities.

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