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26436 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Failure to Notify CFP Board; Professional Discipline
Standard(s) Violated: Article 606(b); 102; 607; 606(a)
Matter Type(s): FINRA Discipline
Decision Date: 02/14/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he: 1) entered into a Letter of Acceptance, Waiver and Consent ("AWC") with the Financial Industry Regulatory Authority, Inc. ("FINRA", formerly known as the National Association of Securities Dealers or "NASD") in which he consented to a fine and suspension from association with any FINRA member in any capacity for a period of one month; and 2) failed to disclose the suspension to CFP Board within 10 days.

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.

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