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30237 – Anonymous Case History
Decision: Private Censure
Keyword(s): Professional Discipline; Misrepresentation
Matter Type(s): Other
Decision Date: 12/09/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: a) published advertisements regarding an annuity (“Annuity”) without prior approval of his firm; b) published misleading advertisements regarding the Annuity; and c) published advertisements regarding the Annuity that violated State law.

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