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26284 – Anonymous Case History
Decision: Suspension
Keyword(s): Disclosure to CFP Board; Professionalism; Professional Discipline; Unauthorized Transaction; Suitability; Employer Policy Violation; Diligence
Standard(s) Violated: Article 406; Article 3(d); 606(a); Article 3(g); Article 3(a); 703; 201; 701; Article 3(e); 607; 606(b)
Matter Type(s): FINRA Discipline
Decision Date: 10/17/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) failed to execute trade orders and executed an unauthorized transaction in a client’s account; 2) exercised discretion in a client’s account without prior written authorization from the client to exercise discretion in her account; and 3) violated NASD Conduct Rules 2110 and 2510(b) and IM-2310-2, which resulted in a three-month suspension from FINRA in any capacity.

30255 – Anonymous Case History
Decision: Suspension
Keyword(s): Unauthorized Transaction; Employer Policy Violation; Failure to Notify CFP Board; Professional Discipline
Standard(s) Violated: Article Article 3(e); 5.1; 4.3; Article 3(g); Article 3(d); Article 3(a)
Matter Type(s): Regulatory Action
Decision Date: 02/28/2017
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he participated in private securities transactions by investing and facilitating investments for six other investors, including clients without providing his firm with written notice of, or receiving approval to participate in, the private securities transactions.

30640 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Unauthorized Transaction
Standard(s) Violated: Article 4.3; 5.1; Article 3(a); Article 3(d); Article 3(g)
Matter Type(s): FINRA Regulatory Action
Decision Date: 10/18/2017
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he exercised discretion without written authorization in numerous customer accounts. 


Page 1 of 1 , 3 Items in Total