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29802 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Securities Laws Violation; Customer Complaints
Standard(s) Violated: Article 5.1; 4.3; 6.5
Matter Type(s): Regulatory Action
Decision Date: 12/04/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she was the subject of a Financial Industry Regulatory Authority, Inc. (“FINRA”) regulatory action and a 2008 customer complaint.

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