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31241 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Employer Policy Violation; Settlement; Misrepresentation; Failure-to-Disclose; Borrowing from Client
Standard(s) Violated: Article 3.6; 5.1; 4.3; 6.1; Article 3(g)
Matter Type(s): State Regulatory Action; Failure to Disclose to CFP Board; Termination
Decision Date: 02/01/2019
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when she and her husband accepted a $500,000 loan from a client without disclosing the loan to her firm.

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