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24706 – Anonymous Case History
Decision: Private Censure
Keyword(s): Conflict of Interest; Disclosure to Clients; Client's Best Interest; Diligence
Standard(s) Violated: Article 4.4; 1.4; 4.1; Article 3(a)
Matter Type(s): Client Dissatisfaction
Decision Date: 08/21/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he failed to: 1) communicate with Husband and Wife appropriately regarding conflicts with representing both after he became aware of their potential divorce; and 2) appropriately respond to Wife’s inquiries and subsequent check processing by failing to inform her that Husband refused to consent to the sale of investments to cover a large check.

26763 – Anonymous Case History
Decision: Private Censure
Keyword(s): Record-Keeping; Fitness; Diligence; Misrepresentation; Professional Discipline
Standard(s) Violated: Article 6.5; Article 3(a); 5.1
Matter Type(s): SEC Discipline
Decision Date: 04/26/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he was censured and fined by the Securities and Exchange Commission ("SEC") for: 1) failing to ensure that his firm ("Firm") maintained complete and accurate employee records; 2) instructing an associated person to backdate employment-related documents; and 3) knowingly submitting the backdated documents to the SEC without disclosing that they were backdated.

26856 – Anonymous Case History
Decision: Suspension
Keyword(s): Employer Policy Violation; Diligence; Unauthorized Transaction
Standard(s) Violated: Article 606(a); Article 3(d); 201; 701; Article 3(a); 606(b); Article 3(e); 406
Matter Type(s): FINRA Discipline
Decision Date: 02/14/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he: 1) exercised unauthorized discretion in client accounts by failing to confirm clients' authorization of trades on the dates the trades were executed; 2) exercised unauthorized discretion in client accounts by executing trades without written authorization to exercise discretion and acceptance of the accounts as discretionary by his firm; and 3) failed to execute a trade in a client's account after being directed to do so by the client.

27168 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Employer Policy Violation; Outside Business Activity; Unauthorized Transaction; Professional Discipline
Standard(s) Violated: Article 4.3; 6.5; 5.1; 4.4
Matter Type(s): FINRA Discipline
Decision Date: 04/26/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he did not respond to a Complaint issued to him by CFP Board.

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