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30894 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Forged-Client-Signatures; Fraud Related to Professional Activity
Standard(s) Violated: Article Article 3(a); 4.3; 5.1
Matter Type(s): FINRA Discipline
Decision Date: 06/12/2018
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she signed three customer names on documents and submitted the documents to the customers’ annuity carrier.


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