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28734 – Anonymous Case History
Decision: Private Censure
Keyword(s): Professional Discipline; Suitability; Failure to Notify CFP Board; Customer Complaints
Standard(s) Violated: Article 4.4; 5.1; 6.5; 4.3; 1.4
Matter Type(s): Client Dissatisfaction
Decision Date: 11/21/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he signed the names of six clients on suitability forms and failed to disclose his Financial Industry Regulatory Authority, Inc. (“FINRA”) suspension to CFP Board within 30 days as required by Article 13.2 of the Disciplinary Rules and Procedures (“Disciplinary Rules”).

29035 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Disclosure to CFP Board; DUI/DWI; Failure to Notify CFP Board
Standard(s) Violated: Article 6.5; 6.3
Matter Type(s): Criminal Court
Decision Date: 04/13/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) was convicted of driving under the influence twice; 2) was convicted of driving with a restricted license; and 3) failed to notify CFP Board that his address changed within 45 days.

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