Page 1 of 1 , 8 Items in Total
15094 – Anonymous Case History
Decision: Suspension
Keyword(s): Misuse of the Marks; Lawsuits Involving Financial Matters; Arbitration; Customer Complaints; Disclosure to Clients; Suitability; Diligence; Professionalism; Misrepresentation
Standard(s) Violated: Article Article 3(a); 607; 601; 201; 704; 606(b); 701; 102
Matter Type(s): FINRA Arbitration
Decision Date: 08/11/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) recommended variable annuities to elderly clients; and 2) omitted the registered trademark symbol when referring to CFP® on his letterhead, certification salutations and documents.

18861 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Settlement; Professional Discipline; Professionalism; Misrepresentation; Diligence
Standard(s) Violated: Article 701; Article 3(a); 607; 606(b); 102; 201; 606(a)
Matter Type(s): Professionalism
Decision Date: 11/07/2008
Summary: Whether CFP® certificant (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he inaccurately completed a health insurance application for a client (“Client”), leading to rescission of the Client’s coverage and Respondent’s violation of a state statutory provision.

19888 – Anonymous Case History
Decision: Private Censure
Keyword(s): Suitability; Arbitration; Professionalism
Standard(s) Violated: Article 606(b); 201; 607
Matter Type(s): FINRA Arbitration
Decision Date: 08/11/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he invested all of the life savings of a client in variable annuities.

21530 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professionalism; Professional Discipline; Misrepresentation; Fraud Related to Professional Activity; Settlement
Standard(s) Violated: Article Article 3(a); 102; 607; 201; 606(b); 606(a)
Matter Type(s): Criminal Court
Decision Date: 11/07/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he advised and assisted his clients in falsely reporting their federal income tax liabilities.

21589 – Anonymous Case History
Decision: Suspension
Keyword(s): Forgery; Settlement; Professional Discipline
Standard(s) Violated: Article 201; 606(a); 102; 606(b)
Matter Type(s): Criminal Court; Professionalism
Decision Date: 05/05/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he attempted to submit a document he had forged to his broker-dealer.

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.

21865 – Anonymous Case History
Decision: Private Censure
Keyword(s): Professionalism; Settlement; Advertising
Standard(s) Violated: Article 602; Article 3(a); 606(b); 607
Matter Type(s): Professionalism
Decision Date: 07/11/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he sent misleading correspondence to the clients of a competing firm in an attempt to solicit them.

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.

Page 1 of 1 , 8 Items in Total