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30896 – Anonymous Case History
Decision: Suspension
Keyword(s): Settlement; Revocation of a Financial Professional License; Fraud Related to Professional Activity
Standard(s) Violated: Article Article 3(d); 6.5; 5.1; 4.3
Matter Type(s): FINRA Discipline
Decision Date: 06/01/2019
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he obtained reimbursement from his firm for computer equipment he purchased but then returned or cancelled, and when he encouraged other employees to do the same and to lie to firm investigators about it.

31215 – Anonymous Case History
Decision: Private Censure
Keyword(s): Securities Laws Violation; Books and Records; Advertising; Employer Policy Violation
Standard(s) Violated: Article 5.1; 4.3
Matter Type(s): SEC Regulatory Action
Decision Date: 02/01/2019
Summary: Whether a CFP® professional, President and Chief Investment Officer of “WXY Planning,” violated CFP Board’s Standards of Professional Conduct when he violated U.S. Securities and Exchange Commission regulations by dispersing radio advertisements promoting WXY Planning that contained client testimonials and by failing to disclose to WXY Planning three personal securities accounts that he opened for the benefit of his immediate family members.

28862 – Anonymous Case History
Decision: Suspension
Keyword(s): Employer Policy Violation; Settlement; Professional Discipline; Outside Business Activity
Standard(s) Violated: Article 5.1; 4.3
Matter Type(s): Termination; FINRA Discipline
Decision Date: 02/01/2019
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he participated in five private securities transactions without providing the required prior written notice to his firm, in violation of NASD Rule 3040 and FINRA Rule 2010.  

31241 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Employer Policy Violation; Settlement; Misrepresentation; Failure-to-Disclose; Borrowing from Client
Standard(s) Violated: Article 3.6; 5.1; 4.3; 6.1; Article 3(g)
Matter Type(s): State Regulatory Action; Failure to Disclose to CFP Board; Termination
Decision Date: 02/01/2019
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when she and her husband accepted a $500,000 loan from a client without disclosing the loan to her firm.

Page 1 of 1 , 4 Items in Total