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26931 – Anonymous Case History
Decision: Private Censure
Keyword(s): Forgery; Judgment Lien; Customer Complaints
Standard(s) Violated: Article 6.5; 201; 607; 4.3; 4.4
Decision Date: 04/11/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: 1) assisted a client with obtaining restitution from an insurance company after taking two withdrawals in an Annuity contract year with the knowledge that it would reduce the guaranteed withdrawal benefits of the Annuity; and 2) altered dates on a client document.

28993 – Anonymous Case History
Decision: Suspension
Keyword(s): Professional Discipline; Revocation of a Financial Professional License; Misappropriation; Fraud Related to Professional Activity; Employer Policy Violation
Standard(s) Violated: Article 607; 6.5; 406; 102; 5.1
Matter Type(s): Professionalism
Decision Date: 12/05/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he misappropriated funds and submitted false records to his member firm regarding business expense reimbursement claims for personal expenditures over a period of more than five years.

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