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28379 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misrepresentation; Professional Discipline; Employer Policy Violation; Failure to Notify CFP Board
Standard(s) Violated: Article Article 3(d); 406; 5.1; Article 3(g); Article 3(e); Article 3(a)
Matter Type(s): FINRA Discipline
Decision Date: 07/26/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) engaged in outside business activities without prior written approval; 2) denied receiving compensation outside his broker-dealer on his 2007, 2008, and 2009 compliance questionnaires while he was receiving compensation directly from Client; 3) stated in 2007, 2008, and 2009 compliance questionnaires that he delivered all transaction documents and other items requiring approval but did not deliver documents regarding his outside transactions; 4) was suspended by the Financial Industry Regulatory Authority, Inc. (“FINRA” formerly known as the National Association of Securities Dealers, Inc “NASD”); and 5) failed to report his FINRA suspension to CFP Board within 30 days.

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