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27321 – Anonymous Case History
Decision: Suspension
Keyword(s): Securities Laws Violation; Suitability
Standard(s) Violated: Article 201; Article 3(e); Article 3(a); 606(a); 701; 102; 401(a); 607; Article 3(d); 606(b)
Matter Type(s): Other Professional Discipline
Decision Date: 07/03/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he: 1) failed to disclose that he was selling unregistered securities, in violation of State law; 2) failed to disclose that he would be compensated for the sale of securities, in violation of State law; 3) sold unregistered, nonexempt securities to 13 clients, in violation of State law; 4) sold an unsuitable promissory note to his client; and 5) failed to adhere to the principles of good business practice when he failed to execute his client's sell orders in a timely manner.

29246 – Anonymous Case History
Decision: Suspension
Keyword(s): Fiduciary Duty; Misrepresentation; Commission/Compensation; Conflict of Interest; Professional Discipline; Suitability; Securities Laws Violation
Standard(s) Violated: Article 4.5; 2.1; 2.2(a); 2.2(b); 4.3; 1.4; Article 3(d)
Matter Type(s): Other Professional Discipline
Decision Date: 10/01/2018
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct by making material misstatements and omissions to their clients while recommending that the clients invest in what was found to be a Ponzi-like investment scheme.


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