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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.


30262 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Settlement; Fee-Only
Standard(s) Violated: Article Article 3(a); 2.1
Matter Type(s): Case Developed By Staff
Decision Date: 02/01/2018
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he represented on CFP Board’s “Find a CFP® Professional” site that he was “Fee-Only” when, in actuality, he sold insurance for commission and was otherwise registered to accept commission payments from insurance agencies and his broker dealer.   

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