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22191 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Professionalism; Confidentiality; Arbitration; Outside Business Activity
Matter Type(s): FINRA Arbitration
Decision Date: 07/10/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he was involved in a 2008 Financial Industry Regulatory Authority Arbitration concerning an employment dispute with his former employer.

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