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17604 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professional Discipline; Professionalism; Advertising; Failure to Respond to CFP Board; Settlement; Failure to Register
Standard(s) Violated: Article 607; 201; 102; Article 3(f); 401(b); 606(a); 101(a); 401(a)
Matter Type(s): Professionalism
Decision Date: 08/08/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he did not respond to a Settlement Offer issued to him by CFP Board.

19994 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Outside Business Activity; Misrepresentation; Disclosure to Clients; Employer Policy Violation; Failure to Respond to CFP Board; Conflict of Interest
Standard(s) Violated: Article Article 3(a); 201; 409; 406; 607; 102; Article 3(f); 606(b); 407(a); 408
Matter Type(s): Professionalism; Client Dissatisfaction; Civil Court
Decision Date: 04/07/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when she sold an interest-bearing promissory note to her client (“Client”) that she represented to the Client as a limited liability interest in a real estate investment venture.

21744 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professionalism; Client's Best Interest; Forgery; Misrepresentation; Professional Discipline; Unauthorized Transaction; Employer Policy Violation; Fraud Related to Professional Activity; Settlement
Standard(s) Violated: Article Article 3(d); 201; 406; 102; 103(c); 607; 202; 606(b)
Matter Type(s): FINRA Discipline; Client Dissatisfaction
Decision Date: 12/19/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he signed clients’ signatures on documents without their authorization.

25912 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Respond to CFP Board
Standard(s) Violated: Article 703; 607; 102; Article 3(a); 201; 606(b)
Matter Type(s): Client Dissatisfaction; FINRA Arbitration
Decision Date: 03/27/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he did not respond to a Complaint issued to him by CFP Board.

26853 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Forgery; Employer Policy Violation; Outside Business Activity; Fraud Related to Professional Activity; Securities Laws Violation
Standard(s) Violated: Article 606(a); 406; 701; 407(a); Article 3(a); 201; 704; 102; 401(a); 607; 606(b)
Matter Type(s): FINRA Discipline
Decision Date: 02/14/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he 1) failed to provide his firm ("Broker-Dealer") with notice of his involvment in private securities transactions with a managed currency program ("Fund"), in violation of National Association Securities Dealers ("NASD", now known as the Financial Industry Regulatory Authority, Inc. or "FINRA") Conduct Rules 3040 and 2110; 2) recommended and sold investments that were not approved by Broker-Dealer and that were outside the scope of his employment with Broker-Dealer; 3) used an outside email accout to skirt Broker-Dealer's internal controls; 4) informed his clients that the Fund was a safe investment when it was not safe; 5) signed a customer's name to account related documnets without the customer's knowledge or consent at least 16 times, in violation of NASD Conduct Rule 2110; 6) did not disclose his compensation arrangement to clients; 7) did not disclose the referral fees he received for directing clients' investments to the Fund; 8) was suspended by FINRA for violating NASD Conduct Rules 3040 and 2110; and 9) had his securities license revoked by the State Securities Division for failing to respond to the State's Order to Show Cause.

27222 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Respond to CFP Board; Bankruptcy; Professional Discipline
Standard(s) Violated: Article 6.5; 6.1; 607; Article 3(a); 6.4
Matter Type(s): Civil Court; Other Professional Discipline
Decision Date: 07/20/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) incurred a 2006 IRS Tax Lien; 2) failed to complete required CE, resulting in a 2004 Insurance License Suspension; 3) filed for Chapter 13 Bankruptcy in 2004; 4) filed for Chapter 13 Bankruptcy in 2002; 5) filed for Chapter 13 Bankruptcy in 1998, which Respondent converted to Chapter 7 Bankruptcy; and 6) failed to provide documentation requested by CFP Board.

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