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28691 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Unauthorized Transaction; Employer Policy Violation
Standard(s) Violated: Article Article 3(a); 6.5; 5.1; 4.4; 4.3
Matter Type(s): Employer Action; FINRA Regulatory Action
Decision Date: 03/01/2015
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he executed nine purchase transactions in the client’s account without written authorization, in violation of his firm’s policy, National Association of Securities Dealers (“NASD”) Rule 2510(b) and Financial Industry Regulatory Authority, Inc. (“FINRA”) Rule 2010.


29798 – Anonymous Case History
Decision: Private Censure
Keyword(s): Unauthorized Transaction; Securities Laws Violation; Professional Discipline
Standard(s) Violated: Article 4.4; 5.1; 4.3; 6.1
Matter Type(s): Regulatory Action
Decision Date: 12/23/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she was terminated by Firm for processing an unauthorized wire transfer on a client’s behalf.

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