Page 1 of 1 , 9 Items in Total
22054 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professionalism; Employer Policy Violation; Misdemeanor; Forgery; Settlement; Diligence
Standard(s) Violated: Article Article 3(a); 102; 606(a); 701; 606(b); 607
Matter Type(s): Other Professional Discipline; Criminal Court
Decision Date: 11/25/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) was convicted of driving under the influence and; 2) was asked to resign from a financial services firm (“Firm”) after he photocopied a client’s (“Client”) signature onto a Firm document.

22317 – Anonymous Case History
Decision: Suspension
Keyword(s): Fitness; Settlement; Professional Discipline; Misdemeanor; Customer Complaints; Arbitration
Standard(s) Violated: Article Article 3(a); 606(a); 607
Matter Type(s): Other Professional Discipline; Client Dissatisfaction; FINRA Arbitration; Civil Court
Decision Date: 03/23/2010
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when: 1) multiple clients filed customer complaints and arbitrations against him; and 2) a state division of securities issued an order of intent to revoke his state securities license.

22807 – Anonymous Case History
Decision: Suspension
Keyword(s): Client's Best Interest; Supervision; Fitness; Employer Policy Violation; Forgery
Standard(s) Violated: Article 606(b); Article 3(a); 705; 606(a); 201; 607
Matter Type(s): Other Professional Discipline
Decision Date: 04/25/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) fostered a sales culture that encouraged the utilization of proprietary products to enhance revenue; 2) recommended proprietary products that were not in the best interest of the clients; 3) allowed advisors under his supervision to engage in forgery and false record-keeping; 4) permitted the forging of signatures on documentation submitted to the corporate office to release compensation; and 5) directed his staff person to affix his name on an internal broker-dealer exception request form.

24467 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misrepresentation; Professional Discipline; Employer Policy Violation; Fraud Related to Professional Activity; Fitness; Forgery
Standard(s) Violated: Article Article 3(d); 406; Article 3(a); 102; 607; Article 3(e)
Matter Type(s): Other Professional Discipline
Decision Date: 08/11/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he recommended that the clients over-concentrate their assets in annuities.

24519 – Anonymous Case History
Decision: Suspension
Keyword(s): Fraud Related to Professional Activity; Employer Policy Violation; Professionalism; Forgery; Fitness; Misrepresentation; Professional Discipline
Standard(s) Violated: Article 201; 606(a); 607; Article 3(a); 406; 102; 606(b)
Matter Type(s): Other Professional Discipline
Decision Date: 08/11/2010
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he signed clients’ names to account documents, denied doing so during an internal review with his former employer, and failed to disclose this information to his current employer.

27004 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Employer Policy Violation; Forgery
Standard(s) Violated: Article 5.1; Article 3(a); 6.5; 4.3
Matter Type(s): Other Professional Discipline
Decision Date: 03/07/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he violated his firm's policies and Financial Industry Regulatory Authority, Inc. ("FINRA", formerly known as the National Association of Securities Dealers or "NASD") Rule 2012 and NASD Rule 3110(a) by signing a client's initials to a switch letter.

27322 – Anonymous Case History
Decision: Suspension
Keyword(s): Forgery; Failure to Notify CFP Board; Employer Policy Violation
Standard(s) Violated: Article 102; 607; 606(a); 201; Article 3(g); 606(b); Article 3(a); 612
Matter Type(s): Other Professional Discipline
Decision Date: 08/28/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conductwhen he: 1) signed a client’s name on account documents without proper authorization; 2) was terminated by his broker-dealer; 3) was issued a Letter of Caution by NASD; and 4) failed to disclose that he was a respondent in an National Association of Securities Dealers (“NASD”) arbitration on two CFP® Certification Renewal Applications (“Renewal Applications”).

30648 – Anonymous Case History
Decision: Private Censure
Keyword(s): Employer Policy Violation; Client Neglect; Client's Best Interest; Embezzlement or Other Financial; Arbitration
Standard(s) Violated: Article 5.1; 4.4; 4.3; 3.2; Article 3(a)
Matter Type(s): Employer Action; CFP Board; FINRA Arbitration
Decision Date: 10/02/2017
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she 1) conducted securities-related business communications with a firm customer using an outside/personal email account, in violation of Firm’s compliance policies, which expressly stated that the use of an outside email system by a financial advisor to communicate with clients, prospects or other Firm associated persons regarding Firm business, or for any other Firm business purpose is prohibited; 2) forwarded account information for a securities customer to the same outside/personal email address, in violation of FINRA Rule 2010; and 3) failed to take prudent steps to protect the security of information and property, including the security of stored information, whether physically or electronically, that was within Respondent’s control when she conducted securities-related business communications with a firm customer using an outside/personal email account.


29370 – Anonymous Case History
Decision: Private Censure
Keyword(s): Employer Policy Violation; Forgery
Standard(s) Violated: Article Article 3(a); 6.5; 5.1; 4.3
Matter Type(s): Employer Action; Other Professional Discipline
Decision Date: 06/01/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he notarized a form without witnessing the client signing the form.
 

Page 1 of 1 , 9 Items in Total