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CFP(R) Certificant Disciplined in Alaska.

DENVER -- Sheila D. Miller of Anchorage, Alaska, was issued a public Letter of Admonition by Certified Financial Planner Board of Standards, Inc. (CFP Board) following the Alaska Department of Commerce and Economic Development's issuance of an Order Imposing a Civil Fine. Miller asked a client to sign and date blank new account forms, delayed execution of the agreed-to investment program, altered the date on the forms to mask the delay in program execution and failed to promptly notify her broker/dealer compliance department of the issues, all in violation of DCE and NASD Securities rules. CFP Board found that the violations warranted a Letter of Admonition.

CFP Board, a nonprofit regulatory organization, fosters professional standards in personal financial planning to help people benefit from competent, professional and ethical financial planning. CFP Board owns the certification marks CFP(R), CERTIFIED FINANCIAL PLANNER(TM) and federally registered CFP (with flame logo) in the United States, which it awards to individuals who successfully complete initial and ongoing certification requirements. CFP Board currently authorizes more than 49,000 individuals to use these marks in the United States. For more information about CFP Board, visit www.CFP.net.
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Publication:Business Wire
Date:Nov 3, 2005
Words:193
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