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28377 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Failure to Notify CFP Board
Standard(s) Violated: Article 6.5; 6.1; 5.1
Matter Type(s): FINRA Discipline
Decision Date: 08/09/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: 1) entered into a Letter of Acceptance, Waiver and Consent (“AWC”) with the Financial Industry Regulatory Authority, Inc. (“FINRA”) wherein she consented to a 30-day suspension for failing to properly disclose her 2010 Chapter 13 Bankruptcy on her Form U4 and 2) failed to notify CFP Board of the FINRA suspension.

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