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21048 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professional Discipline; Felony-Theft; Embezzlement or Other Financial; Securities Laws Violation; Competency; Fitness; Misrepresentation; Fraud Related to Professional Activity; Interim Suspension
Standard(s) Violated: Article 201; 607; Article 3(c); 606(b); 606(a); 102; 406; 302; Article 3(a)
Matter Type(s): Professionalism
Decision Date: 08/10/2009
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he: 1) sold securities to clients while not licensed to do so; 2) promised investors large returns and guaranteed their principal on fraudulent investments; and 3) pleaded guilty to a felony investment fraud charge.

21702 – Anonymous Case History
Decision: Suspension
Keyword(s): Judgment Lien; Fraud-Other; Misrepresentation; Court Order Violation; Disclosure to CFP Board; Other Ethics; Professionalism
Standard(s) Violated: Article Article 3(a); 607; Article 3(f); 102; 606(b); 201; 602; 606(a)
Matter Type(s): Professionalism
Decision Date: 02/26/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) was found to have engaged in a fraudulent transfer of real property; 2) was sanctioned for intentional spoliation of data from his computers in violation of a court protective order; and 3) did not pay enrollment fees for a continuing education course he attended, and did not provide proof of payment upon CFP Board’s request.

21787 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Fraud Related to Professional Activity; Diligence; Disclosure to Clients; Securities Laws Violation; Misrepresentation; Unauthorized Use of the Marks; Professional Discipline; Breach of Contract; Suitability; Commingling; Lawsuits Involving Financial Matters; C
Standard(s) Violated: Article 607; 102; 704; Article 3(a); 201; Article 3(g); 103(d); 606(b); 606(a); 601; 701
Matter Type(s): Client Dissatisfaction
Decision Date: 02/27/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) did not fully inform his client (“Client”) as to the nature of an investment he made for her and did not provide risk disclosure documents to her; 2) did not inform the Client about a civil suit he initiated against the company that offered the product; 3) did not research the company that offered the product before the Client invested in it; 4) commingled his investment funds with the Client’s; 5) used the CFP® marks while not certified; and 6) violated federal and state securities regulations.

22183 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Misuse of the Marks; Settlement; Professional Discipline; Securities Laws Violation; Misrepresentation
Standard(s) Violated: Article 102; 601; 606(b); 607; Article 3(a); 606(a)
Matter Type(s): Other Professional Discipline
Decision Date: 12/03/2009
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he lied to his employer about his use of prohibited solicitation materials, resulting in a Letter of Caution from the National Association of Securities Dealers.

22505 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Breach of Contract; Confidentiality; Forgery; Advertising; Misrepresentation; Disclosure to CFP Board; Professional Discipline
Standard(s) Violated: Article Article 3(e); 607; 503; 406; 102; Article 3(a); 501; 606(b); 201
Matter Type(s): Professionalism
Decision Date: 12/22/2009
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) forged a client’s signature by cutting and pasting the signature from one document to another; 2) disclosed client information to third parties without authorization from the client; 3) mailed a solicitation in potential violation of a non-compete agreement between an employee and the employee’s former firm; 4) misrepresented to his partner that he had sought the advice of counsel prior to mailing the solicitation; and 5) received a 15-day professional suspension from a state regulator.

22798 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misrepresentation; Professional Discipline; Forgery; Settlement; Record-Keeping; Disclosure to CFP Board
Standard(s) Violated: Article 102; 201; 406; 607; Article 3(g); 606(b); Article 3(a)
Matter Type(s): FINRA Arbitration
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he placed an incorrect date, at his client’s request, next to his branch office manager’s signature on several documents.

26286 – Anonymous Case History
Decision: Suspension
Keyword(s): Professional Discipline; Outside Business Activity; Fraud Related to Professional Activity; Employer Policy Violation; Supervision; Securities Laws Violation; Misrepresentation
Standard(s) Violated: Article 606(a); 607; 201; 606(b); 102; 408
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) falsely denied that he acted in a fiduciary capacity for firm customers and had a financial interest in any customer accounts on his firm's compliance questionnaies on seven occasions; and 2) entered into a settlement with the Financial Industry Regulatory Authority, Inc. ("FINRA," formerly know as the National Association of Securities Dealers or "NASD") in which he consented to the entry of findings that he violated NASD Conduct Rule 2110, a one-year suspension from association with any FINRA member in any capacity, and a $10,000 fine.

26886 – Anonymous Case History
Decision: Suspension
Keyword(s): Court Order Violation; Misrepresentation; Employer Policy Violation
Standard(s) Violated: Article Article 3(a); 606(b); 602; 102; 201; 607
Matter Type(s): CFP Board
Decision Date: 07/20/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) sent anonymous letters to former clients falsely identifying himself as a former Compliance Officer with a broker-dealer; 2) denied, under oath, any involvement in writing the anonymous letters during his deposition testimony, but later admitted that he answered falsely under oath and knew the answers were false when he provided the original testimony; and 3) violated the terms of a preliminary injunction prohibiting him from contacting former clients, resulting in a Contempt of Court Order, three-day jail term and $500 fine.

Page 1 of 1 , 8 Items in Total