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29425 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; DUI/DWI; Felony-Non-Violent Crime
Standard(s) Violated: Article 607; 6.5
Matter Type(s): Criminal Court
Decision Date: 03/25/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of misdemeanor Reckless Driving in 2005 and misdemeanor driving under the influence (“DUI”) in 2014.

29926 – Anonymous Case History
Decision: Private Censure
Keyword(s): Suitability; Customer Complaints
Standard(s) Violated: Article 1.3
Matter Type(s): Customer Complaint
Decision Date: 12/09/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he sold a variable annuity to one client shortly after her husband’s death and sold single-premium immediate annuities to two elderly clients.

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