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15935 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Court Order Violation; Borrowing from Client; Professionalism; Securities Laws Violation
Standard(s) Violated: Article 607; Article 3(a); 606(b); 201
Matter Type(s): Other Professional Discipline
Decision Date: 03/04/2009
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he borrowed money from clients and sold unregistered securities in violation of a state consent order.

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.

23363 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Disclosure to CFP Board; Fitness
Standard(s) Violated: Article 607; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 11/30/2009
Summary: Whether an applicant for reinstatement violated CFP Board’s Standards of Professional Conduct by incurring a 2005 federal tax lien for approximately $150,000.

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