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14547 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professionalism; Felony-Tax; Fraud Related to Professional Activity
Standard(s) Violated: Article 102; 607; 606(b); 606(a); Article 3(a); Article 3(c); 201; 406
Matter Type(s): Criminal Court
Decision Date: 03/27/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) set up a fraudulent tax scheme that he sold to clients; 2) assisted clients in filing false tax returns; 3) was convicted of tax fraud conspiracy felonies; and 4) was convicted of tax fraud felonies for his individual tax returns.

21744 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professionalism; Client's Best Interest; Forgery; Misrepresentation; Professional Discipline; Unauthorized Transaction; Employer Policy Violation; Fraud Related to Professional Activity; Settlement
Standard(s) Violated: Article Article 3(d); 201; 406; 102; 103(c); 607; 202; 606(b)
Matter Type(s): FINRA Discipline; Client Dissatisfaction
Decision Date: 12/19/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he signed clients’ signatures on documents without their authorization.

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