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30009 – Anonymous Case History
Decision: Suspension
Keyword(s): Securities Laws Violation; Professional Discipline
Standard(s) Violated: Article 4.6; Article 3(a); 4.3; Article 3(d); Article 3(e); Article 3(g)
Matter Type(s): Regulatory Action
Decision Date: 10/17/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he : 1) failed to disclose to CFP Board on multiple occasions that was the subject of an investigation by the state and that he entered into a Letter of Acceptance, Waiver and Consent (“AWC”) with the Financial Industry Regulatory Authority, Inc. (“FINRA” formerly known as the National Association of Securities Dealer, Inc. or “NASD”); and 2) failed to properly supervise an individual’s sale of complex products and unsuitable Class A mutual fund shares.

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