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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.

22855 – Anonymous Case History
Decision: Private Censure
Keyword(s): Employer Policy Violation; Supervision; Diligence
Standard(s) Violated: Article 201; 406; 606(b); 606(a); 6.5; 705
Matter Type(s): Client Dissatisfaction; Professionalism
Decision Date: 11/28/2011
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when she 1) failed to adequately supervise Subordinate's professional services; 2) made a guest appearance on a television show and authored a newsletter column ("Media Appearances") without prior approval by her Firm: 3) violated National Association of Securities Dealers ("NASD", now know as the Financial Industry Regulatory Authority or "FINRA") Conduct Rule 2210(b)(1) because she failed to obtain prior approval from her registered principal before making Media Appearances; and 4) defaulted on her credit card payment obligations.

23037 – Anonymous Case History
Decision: Private Censure
Keyword(s): Diligence; Customer Complaints; Fitness; Client's Best Interest; Disclosure to Clients; Fraud Related to Professional Activity; Lawsuits Involving Financial Matters; Professionalism; Misrepresentation
Standard(s) Violated: Article 409; 607; Article 3(a); 606(b); 102; 201; 606(a); 202
Matter Type(s): Client Dissatisfaction
Decision Date: 06/21/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he failed to inform his financial planning client that he was renting her property below the market price and that he exercised discretionary authority over her online account without obtaining prior written authorization from the client and principal approval from Respondent’s firm.

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