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19994 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Outside Business Activity; Misrepresentation; Disclosure to Clients; Employer Policy Violation; Failure to Respond to CFP Board; Conflict of Interest
Standard(s) Violated: Article Article 3(a); 201; 409; 406; 607; 102; Article 3(f); 606(b); 407(a); 408
Matter Type(s): Professionalism; Client Dissatisfaction; Civil Court
Decision Date: 04/07/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when she sold an interest-bearing promissory note to her client (“Client”) that she represented to the Client as a limited liability interest in a real estate investment venture.

21894 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Outside Business Activity; Employer Policy Violation; Unauthorized Transaction; Arbitration
Standard(s) Violated: Article Article 3(a); 406; 606(a); 606(b); 607
Matter Type(s): Client Dissatisfaction
Decision Date: 07/09/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when his employer (“Broker Dealer”) found that he had violated its policies by signing documents for a client without written authorization from the Broker Dealer and by not reporting outside activities to the Broker Dealer.

23825 – Anonymous Case History
Decision: Private Censure
Keyword(s): Professionalism; Outside Business Activity; Diligence; Settlement; Employer Policy Violation; Disclosure to Clients; Customer Complaints
Standard(s) Violated: Article 701; Article 3(a); 406; 606(b); 607; 201
Matter Type(s): Client Dissatisfaction
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) failed to add a living benefit rider to an annuity as requested by two clients; 2) represented that an annuity had a principal guarantee when the guarantee existed only upon death; and 3) failed to disclose his outside fixed annuity business to his employer.

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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