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12594 – Anonymous Case History
Decision: Suspension
Keyword(s): Professionalism; Churning; Misrepresentation; Professional Discipline; Bankruptcy; Suitability; Forgery; Employer Policy Violation; Customer Complaints; Fraud Related to Professional Activity; Unauthorized Transaction; Fitness; Disclosure to Clie
Standard(s) Violated: Article 2.1; 606(a); Article 3(a); 606(b); 201; 607; 406; 102
Matter Type(s): FINRA Arbitration
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) was the subject of at least five customer arbitrations alleging unsuitability, unauthorized trading, misrepresentation, churning, fraud and violations of both state and federal securities laws; 2) was alleged to have falsified customer account documents; 3) was permitted to resign from his firm due to unacceptable business practices; and 4) filed for Chapter 7 Bankruptcy.

23870 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Failure to Notify CFP Board; Disclosure to CFP Board; Felony-Non-Violent Crime; Fitness; Serious Crime; Misdemeanor
Standard(s) Violated: Article Article 3(c); Article 3(a); Article 3(g); 607
Matter Type(s): Criminal Court
Decision Date: 04/16/2010
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of Conspiracy to Possess Marijuana with Intent to Distribute and Conspiracy to Distribute Cocaine.

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