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31079 – Anonymous Case History
Decision: Suspension
Keyword(s): Professional Discipline; Misrepresentation; Failure-to-Report
Standard(s) Violated: Article 2.1; 4.3; Article 3(d); Article-13.2; Article 3(g)
Matter Type(s): State Regulatory Action; Failure to Disclose to CFP Board
Decision Date: 02/01/2019
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when (a) she allowed the distribution of invitations that falsely identified her as an investment advisor representative, and (b) failed to report to the CFP Board numerous professional disciplinary actions.  


30850 – Anonymous Case History
Decision: Suspension
Keyword(s): Failure-to-Report; Client's Best Interest; Fiduciary Duty; Misrepresentation; Suitability
Standard(s) Violated: Article Article 3(e); Article 3(d); Article 3(a); 4.5; 4.4; 4.3; 2.1; 1.4
Matter Type(s): FINRA Arbitration; Failure to Disclose to CFP Board; FINRA Discipline
Decision Date: 06/01/2018
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he (1) made an unsuitable investment recommendation to a client; (2) misrepresented the values of annuities being recommended to that client; (3) placed his interest above his client’s interest by making an unsuitable recommendation that resulted in more than $25,000 in commission fees for the Respondent; and (4) failed to report a subsequent suspension by the Financial Industry Regulatory Authority (“FINRA”) to CFP Board within 30 days.


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