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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.

29538 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Bankruptcy; Felony-Tax; Judgment Lien
Standard(s) Violated: Article 6.5; Article 3(a); Article 3(g)
Matter Type(s): Bankruptcies; Judgments/Liens
Decision Date: 03/25/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) filed Chapter 7 Bankruptcy in 1990 and again in 2014; and 2) informed CFP Board on multiple renewal applications for CFP® certification that he had not been a defendant or respondent in a civil action including, but not limited to, a lawsuit, arbitration or mediation relating to his professional activities when in 2009, Respondent was a defendant in a class action lawsuit concerning his professional activities.

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