Page 1 of 1 , 4 Items in Total
12594 – Anonymous Case History
Decision: Suspension
Keyword(s): Professionalism; Churning; Misrepresentation; Professional Discipline; Bankruptcy; Suitability; Forgery; Employer Policy Violation; Customer Complaints; Fraud Related to Professional Activity; Unauthorized Transaction; Fitness; Disclosure to Clie
Standard(s) Violated: Article 2.1; 606(a); Article 3(a); 606(b); 201; 607; 406; 102
Matter Type(s): FINRA Arbitration
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) was the subject of at least five customer arbitrations alleging unsuitability, unauthorized trading, misrepresentation, churning, fraud and violations of both state and federal securities laws; 2) was alleged to have falsified customer account documents; 3) was permitted to resign from his firm due to unacceptable business practices; and 4) filed for Chapter 7 Bankruptcy.

23702 – Anonymous Case History
Decision: Private Censure
Keyword(s): Judgment Lien; Bankruptcy; Settlement; Fitness
Standard(s) Violated: Article Article 3(a); 607
Matter Type(s): Civil Court; Client Dissatisfaction
Decision Date: 03/29/2010
Summary: Whether an applicant for reinstatement of his CFP® certification violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy in 2005 and was the subject of a 2008 judgment lien.

23806 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Judgment Lien; Fitness; Bankruptcy; Failure to Respond to CFP Board
Standard(s) Violated: Article Article 3(a); 607
Matter Type(s): Civil Court
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he did not respond to a Complaint issued to him by CFP Board.

27927 – Anonymous Case History
Decision: Suspension
Keyword(s): Unauthorized Transaction; Professional Discipline; Churning
Standard(s) Violated: Article 607; 406; 401(b); 201
Matter Type(s): FINRA Arbitration
Decision Date: 03/08/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he executed 14 exchange-traded fund (“ETF”) transactions without the knowledge or consent of the customer.

Page 1 of 1 , 4 Items in Total