Page 1 of 1
24269 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Failure to Register
Standard(s) Violated: Article Article 3(a); 606(a); 606(b); 607; 201
Matter Type(s): Other Professional Discipline
Decision Date: 08/16/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) conducted business as an investment advisor in the state without being properly registered; 2) failed to properly renew his employee’s investment adviser representative license for one year; 3) failed to timely file an annual amendment to his firm’s Form ADV; and 4) failed to timely amend the firm’s Form ADV after making material changes to the Form ADV Part II.

Page 1 of 1