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22317 – Anonymous Case History
Decision: Suspension
Keyword(s): Fitness; Settlement; Professional Discipline; Misdemeanor; Customer Complaints; Arbitration
Standard(s) Violated: Article Article 3(a); 606(a); 607
Matter Type(s): Other Professional Discipline; Client Dissatisfaction; FINRA Arbitration; Civil Court
Decision Date: 03/23/2010
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when: 1) multiple clients filed customer complaints and arbitrations against him; and 2) a state division of securities issued an order of intent to revoke his state securities license.

24020 – Anonymous Case History
Decision: Private Censure
Keyword(s): Competency; Fitness; Professionalism; Professional Discipline; Diligence
Standard(s) Violated: Article 606(a); Article 3(a); 201; 302; 606(b); 609; 607
Matter Type(s): Other Professional Discipline
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she prepared a legal document without being authorized to practice law.

28815 – Anonymous Case History
Decision: Suspension
Keyword(s): Suitability; Client's Best Interest; Arbitration; Professional Discipline; Misrepresentation; Professionalism
Standard(s) Violated: Article 703; 202; 704; 606(a); 607; 201; 606(b); 6.5; 6.2
Matter Type(s): Other Professional Discipline; Other Arbitration
Decision Date: 04/10/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she 1) recommended a client invest 75% of her IRA funds in a risky, illiquid alternative investment; 2) recommended and facilitated the sale of interests in six unregistered, real estate investment contracts to 55 of her clients; 3) facilitated the sale of investments without reasonable grounds to believe that the recommendation was suitable for her customers; and 4) failed to disclose a government investigation and a client-related civil suit on her 2011 Renewal Application.

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