Page 1 of 1 , 8 Items in Total
24375 – Anonymous Case History
Decision: Private Censure
Keyword(s): Disclosure to CFP Board; Misrepresentation
Standard(s) Violated: Article 606(b); Article 3(a); 201; 607
Matter Type(s): Civil Court
Decision Date: 07/20/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he solicited investors’ participation in a real estate investment by contacting the investors using the name of a his firm, which was seeking its investment advisor registration.

24706 – Anonymous Case History
Decision: Private Censure
Keyword(s): Conflict of Interest; Disclosure to Clients; Client's Best Interest; Diligence
Standard(s) Violated: Article 4.4; 1.4; 4.1; Article 3(a)
Matter Type(s): Client Dissatisfaction
Decision Date: 08/21/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he failed to: 1) communicate with Husband and Wife appropriately regarding conflicts with representing both after he became aware of their potential divorce; and 2) appropriately respond to Wife’s inquiries and subsequent check processing by failing to inform her that Husband refused to consent to the sale of investments to cover a large check.

26763 – Anonymous Case History
Decision: Private Censure
Keyword(s): Record-Keeping; Fitness; Diligence; Misrepresentation; Professional Discipline
Standard(s) Violated: Article 6.5; Article 3(a); 5.1
Matter Type(s): SEC Discipline
Decision Date: 04/26/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he was censured and fined by the Securities and Exchange Commission ("SEC") for: 1) failing to ensure that his firm ("Firm") maintained complete and accurate employee records; 2) instructing an associated person to backdate employment-related documents; and 3) knowingly submitting the backdated documents to the SEC without disclosing that they were backdated.

27067 – Anonymous Case History
Decision: Private Censure
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article Article 3(a); 6.5
Matter Type(s): Civil Court
Decision Date: 05/10/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy.

27216 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Bankruptcy
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 08/21/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conductwhen he filed for bankruptcy in 2011.

27424 – Anonymous Case History
Decision: Private Censure
Keyword(s): Bankruptcy
Standard(s) Violated: Article 607; Article 3(a)
Decision Date: 07/20/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy in 2007.

27645 – Anonymous Case History
Decision: Private Censure
Matter Type(s): Civil Court
Decision Date: 11/20/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy in 2012.

27785 – Anonymous Case History
Decision: Private Censure
Matter Type(s): Professionalism
Decision Date: 12/20/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) allowed clients to sign blank “Authorization to Transfer Funds” forms, “Annuity Addendum” forms, and “Two-Tier Equity/Fixed Indexed Annuity Acknowledgement” forms, in direct violation of his firm’s policy; 2) altered the Risk Tolerance, Time Horizon and dates on two new account forms; 3) used white-out correction fluid on two annuity applications with no evidence of acknowledgment by the client; 4) failed to properly keep records of new account forms for two clients; 5) failed to properly record and forward funds to his home office as required by his firm’s policy; and 6) was terminated by his broker-dealer.

Page 1 of 1 , 8 Items in Total