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31039 – Anonymous Case History
Decision: Private Censure
Keyword(s): Employer Policy Violation; Professionalism; Professional Discipline; Forgery; Forged-Client-Signatures
Standard(s) Violated: Article 5.1; 4.4; 4.3
Matter Type(s): Termination; Employer Action; Customer Complaint; Professional Organization Disciplinary Action; FINRA Discipline
Decision Date: 02/01/2019
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he altered customer signatures on automated customer account transfer forms and mutual fund switch forms to process transactions.


30434 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Securities Laws Violation; Professional Discipline; Misrepresentation; Fiduciary Duty; Suitability
Standard(s) Violated: Article Article 3(d); Article 3(a); 4.3; 2.1; 1.4
Matter Type(s): Customer Complaint; Other Professional Discipline
Decision Date: 07/01/2017
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) failed to act with the duty of care of a fiduciary when he charged clients an unreasonable investment advisory fee in violation of State law; and 2) failed to disclose the risks involved with Real Estate Investment Trusts (“REIT”) and non-traded REITs in his Form ADV Part 2 in violation of State law.


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