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22350 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Previous Discipline; Disclosure to CFP Board; Securities Laws Violation; Supervision
Standard(s) Violated: Article Article 12.2; Article 3(e); 406; 606(b); 607; 606(a); Article 3(a)
Matter Type(s): FINRA Discipline; Professionalism
Decision Date: 06/21/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he performed supervisory functions without proper registration and received a Financial Industry Regulatory Authority, Inc. (“FINRA” formerly known as National Association of Securities Dealers or “NASD”) suspension and fine as a result.

24874 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Securities Laws Violation; Professional Discipline
Standard(s) Violated: Article 406; 606(a); 606(b); 607; 201
Matter Type(s): FINRA Discipline
Decision Date: 02/14/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he: 1) violated National Association of Securities Dealers ("NASD", now known as the Financial Industry Regulatory Authority, Inc. or "FINRA") Conduct Rules 2510(b) and 2110; 2) signed a Letter of Acceptance, Waiver and Consent ("AWC") wherein he accepted the findings of the NASD Rule violations; and 3) consented to a $10,000 fine and suspension from association with any FINRA member for a period of 20 business days.

26436 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Failure to Notify CFP Board; Professional Discipline
Standard(s) Violated: Article 606(b); 102; 607; 606(a)
Matter Type(s): FINRA Discipline
Decision Date: 02/14/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he: 1) entered into a Letter of Acceptance, Waiver and Consent ("AWC") with the Financial Industry Regulatory Authority, Inc. ("FINRA", formerly known as the National Association of Securities Dealers or "NASD") in which he consented to a fine and suspension from association with any FINRA member in any capacity for a period of one month; and 2) failed to disclose the suspension to CFP Board within 10 days.

26933 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Continuing Education Violation
Standard(s) Violated: Article 607; 606(a); 606(b); 102
Matter Type(s): FINRA Discipline
Decision Date: 03/08/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he received a Financial Industry Regulatory Authority (“FINRA” previously known as National Association of Securities Dealers “NASD”) suspension and $5,000 fine for using an answer key to complete a Long-Term Care (“LTC”) Continuing Education (“CE”) examination.

28190 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Continuing Education Violation; Disclosure to CFP Board
Standard(s) Violated: Article 102; 606(a); 201; 606(b); 607
Matter Type(s): FINRA Discipline
Decision Date: 03/29/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) allowed an individual to sign roster sheets indicating that he had attended insurance CE class sessions taught by Respondent, when the individual had not; and 2) provided the same individual with State Insurance Department course completion certificates for courses the individual had not completed.

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