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20002 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professional Discipline; Employer Policy Violation; Failure to Respond to CFP Board; Securities Laws Violation; Diligence; Serious Crime; Fraud Related to Professional Activity; Fitness
Standard(s) Violated: Article 606(b); 406; Article 3(e); 201; 606(a); Article 3(c); Article 3(a); 607; 102
Matter Type(s): SEC Discipline
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when when he did not respond to a Complaint issued to him by CFP Board.

22513 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Diligence; Failure to Respond to CFP Board; Fitness; Bankruptcy; Client's Best Interest; Disclosure to CFP Board; Commingling; Borrowing from Client; Fraud Related to Professional Activity
Standard(s) Violated: Article 606(b); 102; 409; Article 3(a); 607; 201; 704; 103(d)
Matter Type(s): Client Dissatisfaction
Decision Date: 03/26/2010
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.

23348 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Fiduciary Duty; Failure to Notify CFP Board; Fraud Related to Professional Activity; Misappropriation; Failure to Respond to CFP Board; Fitness; Professional Discipline; Professionalism; Interim Suspension; Forgery; Securities Laws Violation
Standard(s) Violated: Article 606(a); 102; 401(a); 607; Article 3(a); Article 3(e); 103(e); 201; 606(b)
Matter Type(s): SEC Discipline
Decision Date: 07/23/2010
Summary: Whether a CFP ® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she did not respond to a Complaint issued to her by CFP Board.

23730 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Diligence; Fraud Related to Professional Activity; Fitness; Employer Policy Violation; Failure to Respond to CFP Board; Professional Discipline; Confidentiality
Standard(s) Violated: Article 201; Article 3(a); 607; 606(a); 102; 406; 606(b)
Matter Type(s): Other Professional Discipline
Decision Date: 04/29/2010
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.

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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