Page 1 of 1 , 7 Items in Total
15250 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Arbitration; Misrepresentation; Professional Discipline; Disclosure to CFP Board; Suitability; Employer Policy Violation
Matter Type(s): FINRA Arbitration
Decision Date: 04/04/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he was named in two customer complaints that resulted in a National Association of Securities Dealers arbitration.

21409 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Disclosure to Clients; Lawsuits Involving Financial Matters; Record-Keeping; Misuse of the Marks
Matter Type(s): Civil Court
Decision Date: 03/27/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he was the subject of a civil suit by a client (“Claimant”) for recommendations he had made to Claimant regarding the purchase of a life insurance policy.

22243 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Other Ethics
Matter Type(s): Client Dissatisfaction
Decision Date: 03/27/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he did not follow the instructions of his client (“Grievant”) to liquidate all of Grievant’s investments.

24154 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Disclosure to Clients; Professional Discipline; Professionalism; Employer Policy Violation; Unauthorized Transaction; Fitness
Standard(s) Violated: Article 6.5; 5.1; 4.4; 4.3
Matter Type(s): Other Professional Discipline
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) executed a trade without the client’s written authorization; 2) emailed an updated Form ADV to a client; and 3) provided investment advice to an associate by email.

26887 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Employer Policy Violation; Court Order Violation
Matter Type(s): CFP Board
Decision Date: 07/20/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conductwhen she violated the terms of a preliminary injunction prohibiting her from contacting former clients, resulting in a Contempt of Court Order, three-day suspended jail term and $500 fine.

27087 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Professional Discipline; Employer Policy Violation; Forgery
Matter Type(s): FINRA Arbitration
Decision Date: 04/26/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when she was terminated by her former employer for submitting an altered document.

30621 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Securities Laws Violation; Record-Keeping; Professional Discipline; Disclosure to Clients; Books and Records
Standard(s) Violated: Article Article 3(a); 4.3
Matter Type(s): Regulatory Action
Decision Date: 10/25/2017
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she violated the State administrative code by: a) excluding the formula used to calculate the advisory fee on its invoices; b) failing to concurrently send invoices at the time the advisory fee was deducted; c) taking action to withdraw funds when failing to comply with safekeeping requirements; d) failing to maintain net capital of at least $25,000; e) failing to notify the State within 24 hours of its deficient net capital and to suspend business operations during the time of the net capital deficiency; f) failing to amend multiple items on its Form ADV; and g) failing to file timely financial statements.

Page 1 of 1 , 7 Items in Total