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11045 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Respond to CFP Board; Professional Discipline; Employer Policy Violation; Diligence; Court Order Violation; Fitness
Standard(s) Violated: Article 406; 606(b); 607; 606(a); 701; 201
Matter Type(s): Client Dissatisfaction
Decision Date: 03/26/2010
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.

17262 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Diligence; Professionalism; Disclosure to CFP Board; Employer Policy Violation; Professional Discipline; Supervision; Arbitration; Customer Complaints
Standard(s) Violated: Article 406; 606(a); 606(b); Article 3(a); Article 3(d); 607; Article 3(e); 201
Matter Type(s): Client Dissatisfaction; FINRA Discipline; FINRA Arbitration
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) allowed a Financial Industry Regulatory Authority (“FINRA”) member firm (“Firm”), of which he was the Chief Compliance Officer, to participate in securities offerings during its suspension without satisfying the requirements of the suspension; 2) allowed a representative of the Firm (“Representative”) to act as a principal when the Representative had been suspended by the National Association of Securities Dealers (“NASD,” now known as FINRA) from acting in any principal capacity; 3) processed commissions from securities offerings through a non-member company; and 4) was subject to three FINRA arbitrations and one state securities division investigation.

21744 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professionalism; Client's Best Interest; Forgery; Misrepresentation; Professional Discipline; Unauthorized Transaction; Employer Policy Violation; Fraud Related to Professional Activity; Settlement
Standard(s) Violated: Article Article 3(d); 201; 406; 102; 103(c); 607; 202; 606(b)
Matter Type(s): FINRA Discipline; Client Dissatisfaction
Decision Date: 12/19/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he signed clients’ signatures on documents without their authorization.

25346 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Respond to CFP Board; Employer Policy Violation; Unauthorized Transaction; Fitness
Standard(s) Violated: Article 606(b); 201; Article 3(a); 607; 406
Matter Type(s): Client Dissatisfaction
Decision Date: 04/25/2011
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.

28392 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Customer Complaints; Settlement; Forgery; Misappropriation; Unauthorized Transaction
Standard(s) Violated: Article 4.4; 3.5; 4.1; 1.4; 3.4; 6.5; 3.8
Matter Type(s): Client Dissatisfaction
Decision Date: 11/08/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he forged his clients’ signatures in letters to a bank in order to misappropriated his clients’ assets for his own personal use by transferring the clients’ assets to his personal account.

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