Page 1 of 1
31341 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Failure to Register; Books and Records
Standard(s) Violated: Article 4.1; 4.3

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when she failed to maintain proper books and records and file annual updating amendments to ADV Forms.

Page 1 of 1