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29339 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Failure to Register; Professional Discipline
Standard(s) Violated: Article 4.3
Matter Type(s): Other Professional Discipline
Decision Date: 05/06/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she conducted investment advisory business in State without registering as an investment advisor representative with the State Office of Financial Regulation from 2010 through 2013 in violation of State Statutes.

29463 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Professional Discipline; Securities Laws Violation
Standard(s) Violated: Article 4.3
Matter Type(s): Other Professional Discipline
Decision Date: 04/24/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he engaged in investment advisory business in State without registration.

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