Page 1 of 1 , 9 Items in Total
17604 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professional Discipline; Professionalism; Advertising; Failure to Respond to CFP Board; Settlement; Failure to Register
Standard(s) Violated: Article 607; 201; 102; Article 3(f); 401(b); 606(a); 101(a); 401(a)
Matter Type(s): Professionalism
Decision Date: 08/08/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he did not respond to a Settlement Offer issued to him by CFP Board.

19399 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Advertising; Failure to Respond to CFP Board; Professionalism; Failure to Cooperate with Staff
Standard(s) Violated: Article 607; 201; Article 3(f); Article 3(a); 602
Matter Type(s): Professionalism
Decision Date: 03/06/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he solicited financial professionals through an e-mail that contained unprofessional language.

19872 – Anonymous Case History
Decision: Suspension
Keyword(s): Fitness; Misrepresentation; Advertising; Disclosure to Clients; Professional Discipline; Fraud Related to Professional Activity; Diligence
Standard(s) Violated: Article Article 3(a); 101(b); 201; 402; 607; 606(b); 102; 606(a); 705; 401(a)
Matter Type(s): Professionalism
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he knowingly offering securities despite inaccurate financial projections set forth in a private placement memorandum.

19875 – Anonymous Case History
Decision: Private Censure
Keyword(s): Diligence; Fitness; Professionalism; Fraud Related to Professional Activity; Misrepresentation; Professional Discipline; Advertising; Disclosure to Clients
Standard(s) Violated: Article 102; 401(a); 402; 201; 606(a); Article 3(a); 606(b); 607; 101(b)
Matter Type(s): Professionalism
Decision Date: 07/22/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she knowingly offered securities despite inaccurate financial projections set forth in a private placement memorandum.

21048 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professional Discipline; Felony-Theft; Embezzlement or Other Financial; Securities Laws Violation; Competency; Fitness; Misrepresentation; Fraud Related to Professional Activity; Interim Suspension
Standard(s) Violated: Article 201; 607; Article 3(c); 606(b); 606(a); 102; 406; 302; Article 3(a)
Matter Type(s): Professionalism
Decision Date: 08/10/2009
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he: 1) sold securities to clients while not licensed to do so; 2) promised investors large returns and guaranteed their principal on fraudulent investments; and 3) pleaded guilty to a felony investment fraud charge.

21865 – Anonymous Case History
Decision: Private Censure
Keyword(s): Professionalism; Settlement; Advertising
Standard(s) Violated: Article 602; Article 3(a); 606(b); 607
Matter Type(s): Professionalism
Decision Date: 07/11/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he sent misleading correspondence to the clients of a competing firm in an attempt to solicit them.

21922 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; Felony-Theft; Embezzlement or Other Financial
Standard(s) Violated: Article Article 3(c); 607
Matter Type(s): Criminal Court
Decision Date: 08/08/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he was involved in a petty larceny offense during college.

22505 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Breach of Contract; Confidentiality; Forgery; Advertising; Misrepresentation; Disclosure to CFP Board; Professional Discipline
Standard(s) Violated: Article Article 3(e); 607; 503; 406; 102; Article 3(a); 501; 606(b); 201
Matter Type(s): Professionalism
Decision Date: 12/22/2009
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) forged a client’s signature by cutting and pasting the signature from one document to another; 2) disclosed client information to third parties without authorization from the client; 3) mailed a solicitation in potential violation of a non-compete agreement between an employee and the employee’s former firm; 4) misrepresented to his partner that he had sought the advice of counsel prior to mailing the solicitation; and 5) received a 15-day professional suspension from a state regulator.

22879 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Misrepresentation; Fitness; Professional Discipline; Advertising; Employer Policy Violation
Standard(s) Violated: Article 606(b); 102; Article 3(a); 406; Article 3(d); 606(a); 607
Matter Type(s): FINRA Arbitration
Decision Date: 05/17/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he failed to comply with Financial Industry Regulatory Authority (“FINRA,” formerly National Association of Securities Dealers or “NASD”) rules relating to the approval and content of advertisements.

Page 1 of 1 , 9 Items in Total