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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.

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