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21319 – Anonymous Case History
Decision: Suspension
Keyword(s): Professional Discipline; Misrepresentation; Failure to Register; Failure to Respond to CFP Board; Professionalism
Standard(s) Violated: Article 101(b); 606(b); 612; Article 3(g); 607; 606(a); Article 3(f)
Matter Type(s): Other Professional Discipline
Decision Date: 11/07/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he conducted unregistered financial planning seminars about insurance products without identifying himself as an insurance producer, offered inducements to purchase financial planning services and conducted business in an unregistered branch office.

21365 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Securities Laws Violation; Supervision; Record-Keeping; Advertising; Misrepresentation; Continuing Education Violation; Diligence; Disclosure to Clients; Professional Discipline
Standard(s) Violated: Article 401(b); 101(a); 705; 701; 401(a); 606(a); Article 3(a)
Matter Type(s): Professionalism
Decision Date: 08/11/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when a Financial Industry Regulatory Authority investigation showed that he and his company violated securities laws related to the sale of securities on military bases.

23337 – Anonymous Case History
Decision: Suspension
Keyword(s): Other Ethics; Fitness; Misrepresentation
Standard(s) Violated: Article 607; 102; 101(b); Article 3(a)
Matter Type(s): Client Dissatisfaction
Decision Date: 01/06/2010
Summary: Whether a CFP® certificant (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he used copyrighted materials without permission or attribution.

27368 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Respond to CFP Board
Standard(s) Violated: Article 705; 606(a); 201; 406; Article 3(d); 607
Matter Type(s): FINRA Discipline
Decision Date: 07/20/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct

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