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22243 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Other Ethics
Matter Type(s): Client Dissatisfaction
Decision Date: 03/27/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he did not follow the instructions of his client (“Grievant”) to liquidate all of Grievant’s investments.

22504 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor; Disclosure to CFP Board; Customer Complaints
Matter Type(s): Client Dissatisfaction; Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he failed to disclose to CFP Board that he was a defendant in a criminal proceeding and that he was the subject of a Financial Industry Regulatory Authority investigation.

22541 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Disclosure to Clients
Matter Type(s): Client Dissatisfaction
Decision Date: 11/25/2009
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he purchased a home from his client without making the disclosures required by the Code of Ethics.

23303 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Suitability; Customer Complaints
Matter Type(s): Client Dissatisfaction
Decision Date: 11/23/2010
Summary: Whether a CFP® certificant (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) prepared a financial plan and Monte Carlo simulation that deviated from the client’s goals and priorities; 2) did not contact the client to confirm a trade that Respondent knew the client wanted; 3) addressed the client’s concern over account losses by referring him to articles discussing the state of the economy; and 4) did not actively manage the client’s accounts.

26498 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Suitability; Diligence
Matter Type(s): Client Dissatisfaction
Decision Date: 08/21/2012
Summary: Whether aCFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) maintained that an investment (“Fund”) was still appropriate for the client and that the client would be “fine in a year,” while knowing Fund had declined significantly and the risk had unofficially changed; 2) did not recommend his client sell Fund when he learned from that Fund was riskier than he originally thought; and 3) violated employer policy and when he misrepresented Fund to his client, resulting in a cautionary letter from his broker-dealer.

Page 1 of 1 , 5 Items in Total