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30866 – Anonymous Case History
Decision: Private Censure
Keyword(s): Failure to Repay Loan to Firm; Bankruptcy; Employer Policy Violation
Standard(s) Violated: Article 6.5
Matter Type(s): Employer Action; Arbitration; Bankruptcies
Decision Date: 10/01/2018
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was terminated by his employer for inappropriate behavior that was harmful or embarrassing to the firm or its clients.


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