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30537 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Court Order Violation; Misappropriation; Breach of Contract; Arbitration
Standard(s) Violated: Article Article 3(a); 6.5; 5.1; 3.1
Matter Type(s): Civil Suit; Civil Court; AAA Arbitration
Decision Date: 02/01/2018
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: (1) took client information from his old firm to a new firm without authorization from either the old firm or the clients; (2) breached his contract with the old firm by taking client information to a new firm and failing to timely notify the old firm of his resignation; and (3) failed to make payments on a breach of contract judgment issued by a court with appropriate jurisdiction.

30845 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Failure to Notify CFP Board; Settlement; Unfair-Business-Practices; Misappropriation; Fraud Related to Professional Activity; Confidentiality
Standard(s) Violated: Article Article 3(g); Article 3(a); 6.5
Matter Type(s): Failure to Disclose to CFP Board; Civil Suit; Civil Court
Decision Date: 02/01/2018
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: (1) sought and obtained confidential client information from another firm; (2) accepted an unredacted, 52-page billing report that a colleague had printed from secure networks at another firm; (3) was found responsible by a state court for the commission of (a) misappropriating trade secrets and (b) unfair business practices; and (4) failed to disclose such to CFP Board.  
 

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