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26286 – Anonymous Case History
Decision: Suspension
Keyword(s): Professional Discipline; Outside Business Activity; Fraud Related to Professional Activity; Employer Policy Violation; Supervision; Securities Laws Violation; Misrepresentation
Standard(s) Violated: Article 606(a); 607; 201; 606(b); 102; 408
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) falsely denied that he acted in a fiduciary capacity for firm customers and had a financial interest in any customer accounts on his firm's compliance questionnaies on seven occasions; and 2) entered into a settlement with the Financial Industry Regulatory Authority, Inc. ("FINRA," formerly know as the National Association of Securities Dealers or "NASD") in which he consented to the entry of findings that he violated NASD Conduct Rule 2110, a one-year suspension from association with any FINRA member in any capacity, and a $10,000 fine.

27228 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Client's Best Interest; Suitability
Standard(s) Violated: Article Article 3(f); 607; 704; 406; 701; 606(a); 606(b); 202; 201
Matter Type(s): FINRA Arbitration
Decision Date: 07/27/2012
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.

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