Page 1 of 1 , 2 Items in Total
27004 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Employer Policy Violation; Forgery
Standard(s) Violated: Article 5.1; Article 3(a); 6.5; 4.3
Matter Type(s): Other Professional Discipline
Decision Date: 03/07/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he violated his firm's policies and Financial Industry Regulatory Authority, Inc. ("FINRA", formerly known as the National Association of Securities Dealers or "NASD") Rule 2012 and NASD Rule 3110(a) by signing a client's initials to a switch letter.

27791 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Employer Policy Violation; Outside Business Activity
Standard(s) Violated: Article 4.6; 4.4; 4.3
Matter Type(s): Other Professional Discipline
Decision Date: 07/20/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conductwhen he: 1) sold fixed-indexed annuities outside of his firm, in violation of firm policy and Financial Industry Regulatory Authority, Inc. (“FINRA”) Rule 2010; and 2) two representatives under his supervision sold fixed-indexed annuities outside of the firm.

Page 1 of 1 , 2 Items in Total