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25912 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Respond to CFP Board
Standard(s) Violated: Article 703; 607; 102; Article 3(a); 201; 606(b)
Matter Type(s): Client Dissatisfaction; FINRA Arbitration
Decision Date: 03/27/2012
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.

27368 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Respond to CFP Board
Standard(s) Violated: Article 705; 606(a); 201; 406; Article 3(d); 607
Matter Type(s): FINRA Discipline
Decision Date: 07/20/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct

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