Graduate to study as Gates scholar

Tag: 爱上海NT

first_imgAdam Cowden, a 2012 Notre Dame graduate, has received one of 40 Gates Cambridge Scholarships to study at the University of Cambridge starting Oct. 1.“An opportunity to study at Cambridge wouldn’t have been possible without the scholarship,” Cowden said. “There’s a really cool opportunity [at Cambridge] to build community and collaborate to solve the world’s issues.”Cowden, a political science major and philosophy, politics and economics minor, described the intensive, thorough selection process that narrows a field of 800 to a final group of 40.According to Cowden, the departments at Cambridge create a shortlist of applicants of about 200. The Gates committee then review and select about 100 for interviews in Seattle. Cowden said that the Gates committee only selected 90 this year.At the interviews, Cowden said the experience was friendly.“They go out of their way to encourage you to enjoy Seattle and engage with the other finalists,” he said.“You have a panel interviewing you. Mine was social sciences. [The panel] includes some professors from Cambridge, past Gates Cambridge Scholars and others,” Cowden said. “They asked what I thought about policy and if I drafted a policy, what would it be and why.”Cowden said his initial reaction was a mix of surprise and relief.“I didn’t think that my interview went well,” he said. “I was really surprised and happy. I studied in London while at Notre Dame, and I’m excited to go back.”At University of Cambridge, Cowden will pursue a master of philosophy in planning, growth and regeneration. He said he wants to apply his studies in the future.“In the short term, I could be interested in going on to a Ph.D. Right now, I’m living at Su Casa Catholic Workers,” he said. “I think I would like to work in public policy that regenerates economically desperate neighborhoods. Or else, I could end up finding something else and being completely surprised.”Cowden thanked specific members of the Notre Dame community for helping him along his journey to Cambridge.“I would say that certain people as opposed to classes or a major helped me the most,” Cowden said. “I took a Latin American politics class with Fr. Tim Scully. I had to write a paper in that class that became the inspiration of my senior thesis.“Dr. Jeff Thibert at CUSE really helped me through the actual scholarship process.”Beyond the application process and classes, Cowden said the community aspect of dorm life at Notre Dame helped him along the way.“We had a housekeeper in Sorin, Senja Begic. She was basically my second mom,” he said. “There was one time that I fell on God Quad and she tended to my wounds for two weeks. She helped us get through college.”Cowden said he would encourage other students to apply for scholarships following college.“Number one, make sure that you have a good reason for applying to the program,” he said. “Second of all, if you do have those reasons in place, don’t sell yourself short. Don’t think there’s no chance at getting it. I thought I had a very small chance, and it worked out for me.”Tags: Adam Cowden, Class of 2012, Gates Cambridge Scholarshiplast_img read more


Tag: 爱上海NT

first_imgFloridaKirk L. GravelleJacksonvilleLetter of Admonition New YorkTodd M. DudonisEast NorthportLetter of Admonition CaliforniaGene BaynesSan DiegoRevocation New YorkJoseph L. DowneyMassapequa ParkLetter of Admonition FloridaHenry T. GoodeMelbourneSuspension OregonJo Rae PerkinsAlbanyRevocation ArizonaDavid B. GarrisonTonopahSuspension OregonDavid W. GwynnEugeneRevocation New YorkDavid ChinNew York CitySuspension MassachusettsRobert L. O’NeilMedfordSuspension TexasCraig R. BrockmanPlanoRevocation MarylandWilliam F. ColeCaliforniaSuspension MichiganDavid Philip GlobigSpring ArborLetter of Admonition Certified Financial Planner Board of Standards, Inc. announces public disciplinary actions against the following individuals’ right to use the CFP® certification marks, effective immediately.Public disciplinary actions taken by CFP Board, in order of increasing severity, include letters of admonition, suspensions and permanent revocations.  The basis for each decision can be found in a Disciplinary Action Report below and on CFP Board’s Web site. Consumers may check on any planner’s disciplinary history and certification status with CFP Board at www.CFP.net/search(link is external) .CFP Board’s Standards of Professional Conduct, which includes the Code of Ethics and Professional Responsibility, Rules of Conduct and Financial Planning Practice Standards, sets forth the ethical standards for financial planners who hold the CFP® certification.  CFP Board enforces its ethical standards by investigating incidents of alleged unethical behavior, and following the procedures established in CFP Board’s Disciplinary Rules and Procedures.  In cases where violations are found, CFP Board may impose discipline ranging from a private censure or public letter of admonition to the suspension or revocation of the right to use the CFP® marks. The Disciplinary Rules and Procedures set forth a fair process for investigating matters and imposing discipline where necessary.CFP Board’s enforcement process is a critical consumer protection.  CFP® professionals agree to abide by CFP Board’s Standards of Professional Conduct, which sets forth their ethical responsibilities to the public, clients and employers. CFP® practitioners agree to act fairly and diligently when providing clients with financial planning advice and services, putting the clients’ interests first.  STATENAMELOCATIONDISCIPLINE New YorkScott M. FitzgeraldMelvilleLetter of Admonition MarylandKathy W. GordonSnow HillSuspension IllinoisRichard KonstChicagoLetter of Admonition New YorkMatthew D. WeitzmanArmonkRevocation OhioJoseph D. BonannoCantonRevocation TexasLinnie Logan PhebusAustinLetter of Admonition TexasLance R. McCollumItascaSuspension DISCIPLINARY ACTION REPORTLETTERS OF ADMONITIONFLORIDAKirk L. Gravelle (Jacksonville):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued a Letter of Admonition to Mr. Gravelle.  This discipline followed CFP Board’s investigation of allegations that Mr. Gravelle intentionally misidentified solicited transactions as unsolicited in an effort to circumvent his firm’s “Do Not Solicit” list.  Mr. Gravelle was suspended and fined by his employer as a result of this action.  The Commission determined that Mr. Gravelle’s conduct violated Rules 102, 201, 406, 606(b) and 607 of CFP Board’s Code of Ethics and Professional Responsibility, and provided grounds for discipline pursuant to Article 3(a) of CFP Board’sDisciplinary Rules and Procedures.  Accordingly, the Commission admonished Mr. Gravelle with regard to the above-mentioned conduct.ILLINOISRichard Konst (Chicago): In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued a Letter of Admonition to Mr. Konst.  This discipline followed CFP Board’s investigation of allegations that Mr. Konst facilitated market timing in the mutual fund sub-accounts of a client’s variable annuities.  The National Association of Securities Dealers (“NASD,” now known as the Financial Industry Regulatory Authority, Inc. or “FINRA”) censured and fined Mr. Konst as a result of his market timing activities.  The Commission determined that Mr. Konst participated in the implementation of a market timing strategy that was designed specifically to avoid detection by insurance companies trying to monitor excessive trading in variable annuities.  The Commission determined that Mr. Konst’s conduct violated Rules 102, 201, 406, 606(a), 606(b) and 607 of CFP Board’s Code of Ethics and Professional Responsibility, and provided grounds for discipline pursuant to Article 3(a) of CFP Board’s Disciplinary Rules and Procedures.  Accordingly, the Commission admonished Mr. Konst with regard to the above-mentioned conduct.  MICHIGANDavid Phillip Globig (Spring Arbor): In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued a Letter of Admonition to Mr. Globig.  This discipline followed CFP Board’s investigation of allegations that Mr. Globig entered into a Consent Order with the State of Michigan Office of Financial and Insurance Services in which he agreed to: 1) cease and desist from conducting business as an investment advisor in the state without being registered; 2) pay a civil fine; and 3) disgorge advisory fees collected from clients.  The Commission determined that Mr. Globig’s conduct violated Rules 201, 606(a), 606(b) and 607 of CFP Board’s Code of Ethics and Professional Responsibility and provided grounds for discipline pursuant to Article 3(a) of CFP Board’sDisciplinary Rules and Procedures.  Accordingly, the Commission admonished Mr. Globig with regard to the above-mentioned conduct.  NEW YORKTodd M. Dudonis (East Northport):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued a Letter of Admonition to Mr. Dudonis.  This discipline followed CFP Board’s investigation of Mr. Dudonis’ 90-day suspension by the Financial Industry Regulatory Authority, Inc. (“FINRA”).  Without admitting or denying FINRA’s findings, Mr. Dudonis consented to the finding that he signed his branch office manager’s name on a “Change of Agent of Record” form without the branch office manager’s authorization, knowledge or consent, in violation of NASD Conduct Rule 2110.  The Commission determined that Mr. Dudonis’ conduct violated Rules 102, 201, 406, 606(a), 606(b) and 607 of CFP Board’s Code of Ethics and Professional Responsibility, and provided grounds for discipline pursuant to Article 3(a) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Accordingly, the Commission admonished Mr. Dudonis with regard to the above-mentioned conduct.  Joseph L. Downey ( Massapequa Park): In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued a Letter of Admonition to Mr. Downey.  This discipline followed CFP Board’s investigation of allegations that Mr. Downey referred clients’ accounts to a registered investment adviser who had not been approved by Mr. Downey’s firm, without the clients’ authorization, knowledge or consent, in violation of the firm’s policy.  The Commission determined that Mr. Downey’s conduct violated Rules 102, 201, 406, 606(b) and 607 of CFP Board’s Code of Ethics and Professional Responsibility, and provided grounds for discipline pursuant to Article 3(a) of CFP Board’s Disciplinary Rules and Procedures.  Accordingly, the Commission admonished Mr. Downey with regard to the above-mentioned conduct.  Scott M. Fitzgerald (Melville):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued a Letter of Admonition to Mr. Fitzgerald.  This discipline followed CFP Board’s investigation of allegations that Mr. Fitzgerald entered into a stipulation with the New York Insurance Department in which he agreed to a fine and the finding that he violated New York insurance law when he neglected to complete the proper forms in connection with the replacement of a client’s annuity contract.  The Commission determined that Mr. Fitzgerald’s conduct violated Rules 201, 606(a), 606(b) and 701 of the CFP Board’s Code of Ethics and Professional Responsibility, and provided grounds for discipline pursuant to Article 3(a) of the Disciplinary Rules and Procedures.  Accordingly, the Commission admonished Mr. Fitzgerald with regard to the above-mentioned conduct.TEXASLinnie Logan Phebus (Austin):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued a Letter of Admonition to Ms. Phebus.  This discipline followed CFP Board’s investigation of Ms. Phebus’ 2007 conviction for felony assault, which led to Ms. Phebus’ statutory disqualification by Financial Industry Regulatory Authority, Inc. (“FINRA”).  Ms. Phebus did not report her criminal conviction to CFP Board within ten calendar days of receiving notification of the conviction, as required by Article 12.2 of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  The Commission determined that Ms. Phebus’ conduct violated Rule 607 of CFP Board’s Code of Ethics and Professional Responsibility, and provided grounds for discipline pursuant to Articles 3(a), 3(c), and 3(e) of CFP Board’s Disciplinary Rules.  Accordingly, the Commission admonished Ms. Phebus with regard to the above-mentioned conduct.UTAHRobert P. Aamodt (Farmington):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued a Letter of Admonition to Mr. Aamodt.  This discipline followed CFP Board’s investigation of Mr. Aamodt’s Financial Industry Regulatory Authority, Inc. (“FINRA”) suspension and fine for personally reimbursing losses in a client’s account in violation of NASD Conduct Rules 2330(f) and 2110.  CFP Board’s Disciplinary and Ethics Commission (“Commission”) determined that Mr. Aamodt’s conduct violated Rules 201, 202, 406, 606(a), 606(b), 607 and 701 of CFP Board’s Code of Ethics and Professional Responsibility, and provided grounds for discipline pursuant to Articles 3(a) and 3(d) of CFP Board’s Disciplinary Rules and Procedures.  Accordingly, the Commission admonished Mr. Aamodt with regard to the above-mentioned conduct.INTERIM SUSPENSIONILLINOISAlgird M. Norkus (Oak Brook):  In December 2010, CFP Board issued an Interim Suspension Order suspending Mr. Norkus’ right to use the CFP® certification marks.  CFP Board initiated interim suspension proceedings following: 1) notification by the Illinois Securities Department of a Temporary Order of Prohibition and Suspension of Registration against Mr. Norkus for alleged fraud in the sale of securities; and 2) discovery of allegations that the SEC barred Mr. Norkus following the issuance of an SEC Complaint that alleged violations of the Securities Act of 1933 and Securities Exchange Act of 1934 for engaging in fraud in the sale of promissory notes.  Mr. Norkus failed to respond to CFP Board’s Order to Show Cause within 20 calendar days of the date of service, as required by Article 5.1 of CFP Board’sDisciplinary Rules and Procedures (“Disciplinary Rules”).  Accordingly, pursuant to Article 5.4 of theDisciplinary Rules, the allegations set forth in the Order to Show Cause were deemed admitted, and CFP Board issued an Interim Suspension Order, effective December 22, 2010. Under the Interim Suspension Order, Mr. Norkus’ right to use the CFP® certification marks is suspended pending CFP Board’s completed investigation, and possible further disciplinary proceedings.  SUSPENSIONSARIZONADavid B. Garrison (Tonopah):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued an order suspending Mr. Garrison’s right to use the CFP® certification marks for one year and one day.  The suspension followed CFP Board’s investigation of Mr. Garrison’s 2010 Chapter 7 Bankruptcy filing.  The Commission determined that Mr. Garrison’s conduct violated Rule 6.5 of CFP Board’s Rules of Conduct and provided grounds for discipline pursuant to Article 3(a) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Accordingly, the Commission suspended Mr. Garrison’s right to use the CFP® certification marks for one year and one day, pursuant to Article 4.3 of the Disciplinary Rules.  Mr. Garrison’s suspension is effective from December 23, 2010 to December 24, 2011.      FLORIDAHenry T. Goode (Melbourne):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued an order suspending Mr. Goode’s right to use the CFP® certification marks for three years.  The suspension followed CFP Board’s investigation of Mr. Goode’s: 1) termination from his broker dealer following a customer complaint wherein it was alleged Mr. Goode failed to execute the client’s order; 2) entering into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority, Inc. (“FINRA”) in which he consented to a suspension and fine for the same conduct; and 3) 2010 Chapter 7 Bankruptcy filing.  The Commission determined that Mr. Goode’s conduct violated Rules 201, 406, 606(b), 607, and 701 of CFP Board’s Code of Ethics, andRule 6.5 of CFP Board’s Rules of Conduct and provided grounds for discipline pursuant to Article 3(a) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Accordingly, the Commission suspended Mr. Goode’s right to use the CFP® certification marks for three years, pursuant to Article 4.3 of the Disciplinary Rules.  Mr. Goode’s suspension is effective from December 20, 2010 to December 20, 2013.      Andrew W. MacGill (Tampa):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued an order suspending Mr. MacGill’s right to use the CFP® certification marks for six months.  This discipline followed CFP Board’s investigation of allegations that Mr. MacGill recommended an unsuitable level of concentration in reverse convertible notes (“RCNs”) in clients’ accounts.  As a result of the unsuitable recommendations, the Financial Industry Regulatory Authority, Inc. (“FINRA”) suspended Mr. MacGill for 15 days, and ordered him to pay a$10,000 fine and disgorge $2,023 in commissions he had earned on the sale of the RCNs.  Mr. MacGill did not report his suspension to CFP Board within ten calendar days of receiving notification of the suspension, as required by Article 12.2 of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  The Commission determined that Mr. MacGill’s conduct violated Rules 201, 406, 606(a), 606(b), 607, and 701 of CFP Board’s Code of Ethics and Professional Responsibility, and provided grounds for discipline pursuant to Articles 3(a), 3(d), and 3(e) of CFP Board’s Disciplinary Rules.  Accordingly, the Commission suspended Mr. MacGill’s right to use the CFP® certification marks, pursuant to Article 4.3 of the  Disciplinary Rules.  Mr. MacGill’s suspension is effective from December 2, 2010 to June 2, 2011.MARYLANDWilliam F. Cole (California):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued an order suspending Mr. Cole’s right to use the CFP® certification marks for one year and one day.  The suspension followed CFP Board’s investigation of Mr. Cole’s 2010 Chapter 7 Bankruptcy filing.  The Commission determined that Mr. Cole’s conduct violated Rule 6.5 of CFP Board’s Rules of Conduct and provided grounds for discipline pursuant to Article 3(a) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Accordingly, the Commission suspended Mr. Cole’s right to use the CFP® certification marks for one year and one day, pursuant to Article 4.3 of the Disciplinary Rules.  Mr. Cole’s suspension is effective from December 20, 2010 toDecember 21, 2011.      Kathy J. Gordon (Snow Hill): In December 2010, following a hearing before CFP Board’s Appeals Committee, CFP Board issued an order affirming the Disciplinary and Ethics Commission’s (“Commission”) revocation of Ms. Gordon’s right to use the CFP® certification marks for four years.  This discipline followed CFP Board’s investigation of Ms. Gordon’s: 1) recommendation to her clients to purchase promissory notes from her son’s real estate development company; 2) failure to timely renew her CFP® certification; 3) November 2007 entry into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority, Inc. (“FINRA”) wherein she agreed to a three-month suspension; and 4) entering into a December 2008 Consent Agreement with the State of Maryland related to the promissory notes, pursuant to which she received a fine and became subject to special supervision for three years.  The Commission determined that Ms. Gordon’s conduct violated Rules 102, 201, 401(a), 606(a), 606(b), 607 and 612 of CFP Board’s Code of Ethics and Professional Responsibility and provided grounds for discipline pursuant to Article 3(a), 3(d) and 3(e) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Accordingly, the Commission suspended Ms. Gordon’s right to use the CFP® certification marks for four years, pursuant to Article 4.3 of the Disciplinary Rules.  Ms. Gordon’s suspension is effective from March 27, 2009 through March 27, 2013.MASSACHUSETTSRobert L. O’Neil (Medford):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued an order suspending Mr. O’Neil’s right to use the CFP® certification marks for one month.  The suspension followed CFP Board’s investigation of a Financial Industry Regulatory Authority, Inc. (“FINRA”) inquiry that resulted in a Cautionary Action Letter.  Following a hearing, the Commission found that Mr. O’Neil: 1) signed the names of 24 clients on account transfer documents; and 2) violated NASD Conduct Rule 2110, which requires FINRA members to observe high standards of commercial honor and just and equitable principals of trade.  The Commission determined that Mr. O’Neil’s conduct violated Rules 102, 201, 406, 606(a), 606(b) and 607 of CFP Board’sCode of Ethics and Professional Responsibility, and provided grounds for discipline pursuant to Article 3(a) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Accordingly, the Commission suspended Mr. O’Neil’s right to use the CFP® certification marks for one month, pursuant to Article 4.3 of the Disciplinary Rules.  Mr. O’Neil’s suspension was effective from December 15, 2010 toJanuary 14, 2011.NEW YORKDavid Chin (New York):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued an order suspending Mr. Chin’s right to use the CFP® certification marks for thirty days.  This discipline followed CFP Board’s investigation of allegations that Mr. Chin signed a customer’s name on documents without the customer’s consent.  As a result, Mr. Chin was suspended for 30 days and fined by the Financial Industry Regulatory Authority, Inc. (“FINRA”) for violating NASD Conduct Rule 2110.  The Commission determined that Mr. Chin:  1) signed a customer’s name without the customer’s consent; 2) failed to report his 30-day FINRA suspension to CFP Board as required by Article 12.2 of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”); and 3) improperly used the CFP® certification marks by using the CFP® mark in his email address.  The Commission determined that Mr. Chin violated Rules 102, 201, 406, 606(a), 606(b), and 607 of CFP Board’s Code of Ethics and Professional Responsibility and Rules 6.1 and 6.5 of CFP Board’s Rules of Conduct, providing grounds for discipline pursuant to Articles 3(a), 3(d), and 3(e) of the Disciplinary Rules.  Accordingly, the Commission suspended Mr. Chin’s right to use the CFP® certification marks, pursuant to Article 4.3 of the Disciplinary Rules.  Mr. Chin’s suspension was effective from December 14, 2010 toJanuary 12, 2011.PENNSYLVANIABradley K. Adams (Newtown):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued a suspension of one year and one day to Mr. Adams.  This discipline followed CFP Board’s investigation of Mr. Adams’ entry into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority, Inc. (“FINRA”) in which he consented to: 1) the finding that he failed to supervise a registered representative; 2) a 30-day suspension; and 3) a $15,000 fine.  CFP Board’s Disciplinary and Ethics Commission (“Commission”) determined that Mr. Adams’ conduct violated Rule 201, 606(a), 607, 701 and 705 of CFP Board’s Code of Ethics and Professional Responsibility and provided grounds for discipline pursuant to Articles 3(a) and 3(d) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Accordingly, the Commission suspended Mr. Adams’ right to use the CFP® certification marks for one year and one day, pursuant to Article 4.3 of the Disciplinary Rules.  Mr. Adams’ suspension is effective from December 16, 2010 to December 17, 2011.TEXASLance R. McCollum (Itasca):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued an order suspending Mr. McCollum’s right to use the CFP® certification marks for three years.  The suspension followed CFP Board’s investigation of Mr. McCollum’s felony conviction for driving while intoxicated.  Following a hearing, the Commission determined that Mr. McCollum was found guilty of a third offense or more of driving while intoxicated, a third degree felony.  The Commission determined that Mr. McCollum’s conduct violated Rule 6.5 of CFP Board’s Rules of Conduct, and provided grounds for discipline pursuant to Articles 3(a) and 3(c) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Accordingly, the Commission suspended Mr. McCollum’s right to use the CFP® certification marks for three years, pursuant to Article 4.3 of the Disciplinary Rules.  Mr. McCollum’s suspension is effective from December 15, 2010 toDecember 15, 2013.VERMONTCarol A. Geske (South Burlington):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued a suspension for three months to Ms. Geske.  This discipline followed CFP Board’s investigation of Ms. Geske entering into: 1) a Consent Order with the Vermont Securities Division; and 2) a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority, Inc. (“FINRA”) in which she consented to a finding that she affixed a client’s signature on an account enrollment form without the client’s authorization or consent, which led to a suspension and fine.  The Commission determined that Ms. Geske’s conduct violated Rules 102, 201, 406, 606(a), 606(b) and 607 of CFP Board’s Code of Ethics and Professional Responsibility, and provided grounds for discipline pursuant to Articles 3(a), 3(d) and 3(e) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Accordingly, the Commission suspended Ms. Geske’s right to use the CFP® certification marks for three months, pursuant to Article 4.5 of the Disciplinary Rules. Ms. Geske’s suspension is effective from December 23, 2010 to March 23, 2011.REVOCATIONSCALIFORNIAGene Baynes (San Diego):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued an order permanently revoking Mr. Baynes’s right to use the CFP® certification marks.  This discipline followed CFP Board’s investigation of allegations that Mr. Baynes filed for bankruptcy and was the subject of criminal charges.  Following a hearing, the Commission determined that Mr. Baynes: 1) was found guilty of assault and disorderly conduct in 2007; 2) is the subject of an outstanding warrant relating to the assault and disorderly conduct convictions; and 3) filed for Chapter 7 Bankruptcy in 1993, and again in 2009.  The Commission determined that Mr. Baynes’ conduct violated Rule 607 of CFP Board’s Code of Ethics and Professional Responsibility and Rule 6.5 of CFP Board’s Rules of Conduct, providing grounds for discipline pursuant to Articles 3(a) and 3(c) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Accordingly, pursuant to Article 7.4 of the Disciplinary Rules, the allegations set forth in the Complaint were deemed admitted, and CFP Board issued an Order of Revocation.  The permanent revocation of Mr. Baynes right to use the CFP® certification became effective on December 23, 2010.NEW YORKThomas W. Laundrie (Garden City): In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued an order permanently revoking Mr. Laundrie’s right to use the CFP® certification marks.  This discipline followed CFP Board’s investigation of Mr. Laundrie’s: 1) entering into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority, Inc. (“FINRA”) pursuant to which he was suspended and fined for failing to review or monitor his firm’s market making activities; 2) involvement in four FINRA arbitrations related to his failure to supervise employees; and 3) 2009 Chapter 7 Bankruptcy filing.  The Commission determined that Mr. Laundrie’s conduct violated Rules 201, 606(a), 606(b) and 701 of CFP Board’s Code of Ethics and Professional Responsibility and Rule 6.5 of CFP Board’s Rules of Conduct and provided grounds for discipline pursuant to Article 3(a) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Accordingly, pursuant to Article 4.4 of the Disciplinary Rules, the Commission permanently revoked Mr. Laundrie’s right to use the CFP® certification marks.  The permanent revocation of Mr. Laundrie’s right to use the CFP® certification became effective on December 23, 2010.  Matthew D. Weitzman (Armonk):  In October 2010, CFP Board issued an order permanently revoking Mr. Weitzman’s right to use the CFP® certification marks.  This discipline followed CFP Board’s investigation of allegations made by the U.S. Attorney’s Office that Mr. Weitzman fraudulently obtained clients’ funds by:  1) submitting false documents to a brokerage firm, purporting to reflect clients’ authorizations to access their funds; and 2) lying to clients about the purpose for which he would use their funds.  Mr. Weitzman pleaded guilty to one felony count of investment adviser fraud, two felony counts of securities fraud, and five felony counts of wire fraud.  CFP Board’s Complaint alleged that Mr. Weitzman’s conduct violated Rules 102, 201, 406, 606(a), 606(b) and 607 of CFP Board’s Code of Ethics and Professional Responsibility and Rules 2.1, 4.3, 4.4, 5.1, 6.1, and 6.5 of CFP Board’s Rules of Conduct, and provided grounds for discipline pursuant to Articles 3(a), 3(c) and 3(e) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Mr. Weitzman failed to file an Answer to CFP Board’s Complaint within 20 calendar days of the date of service, as required by Article 7.3 of CFP Board’sDisciplinary Rules and Procedures (“Disciplinary Rules”).  Accordingly, pursuant to Article 7.4 of theDisciplinary Rules, the allegations set forth in the Complaint were deemed admitted, and CFP Board issued an Order of Revocation.OHIOJoseph D. Bonanno (a/k/a Timothy W. Hyde) (Canton): In October 2010, CFP Board issued an order permanently revoking Mr. Bonanno’s right to use the CFP® certification marks.  This discipline followed CFP Board’s investigation of allegations that Mr. Bonanno was indicted by the United States on one count of Wire Fraud, two counts of Aggravated Identity Theft, two counts of False Statements, and one count of False Statements in Application for a Passport.  The indictment alleged that from 1992 until March 2009, Mr. Bonanno represented himself as ‘Timothy W. Hyde’ when his legal name was Joseph D. Bonanno.  Mr. Bonanno pleaded guilty to one count of Wire Fraud, one count of Aggravated Identity Theft, two counts of False Statements and one count of False Statements in Application for a Passport.  CFP Board’s Complaint alleged that Mr. Bonanno’s conduct violated Rules 102, 606(a), 606(b) and 607 of CFP Board’sCode of Ethics and Professional Responsibility and Rule 6.5 of CFP Board’s Rules of Conduct, and provided grounds for discipline pursuant to Articles 3(a), 3(c), 3(d) and 3(g) of CFP Board’s Disciplinary Rules and Procedures (’Disciplinary Rules’).  Mr. Bonanno failed to file an Answer to CFP Board’s Complaint within 20 calendar days of the date of service, as required by Article 7.3 of CFP Board’sDisciplinary Rules and Procedures (’Disciplinary Rules’).  Accordingly, pursuant to Article 7.4 of theDisciplinary Rules, the allegations set forth in the Complaint were deemed admitted, and CFP Board issued an Order of Revocation.OREGONDavid W. Gwynn (Eugene):  In October 2010, following a hearing by CFP Board’s Disciplinary and Ethics Commission (“Commission”), CFP Board issued an order permanently revoking Mr. Gwynn’s right to use the CFP® certification marks.  This discipline followed CFP Board’s investigation of allegations that Mr. Gwynn: 1) engaged in excessive trading and a pattern of unsuitable trades in a client account; and 2) entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority, Inc. (“FINRA”) in which he consented to a suspension from association with any FINRA member for 10 days for exercising discretion in a non-discretionary customer account.  The Commission determined that Mr. Gwynn’s conduct violated Rules 102, 201, 202, 401(a), 406, 606(a), 606(b), 607, 701 and 703 of CFP Board’s Code of Ethics and Professional Responsibility and provided grounds for discipline pursuant to Articles 3(a), 3(d) and 3(e) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Accordingly, pursuant to Article 4.4 of the Disciplinary Rules, the Commission permanently revoked Mr. Gwynn’s right to use the CFP® certification marks.  The permanent revocation of Mr. Gywnn’s right to use the CFP® certification became effective on December 23, 2010.Jo Rae Perkins (Albany): In October 2010, CFP Board issued an order permanently revoking Ms. Perkins’ right to use the CFP® certification marks. This discipline followed CFP Board’s investigation of allegations that: 1) Ms. Perkins’ employer terminated her employment in 2008 for violations of firm policy; and 2) Ms. Perkins filed for Chapter 7 bankruptcy in 2009.  CFP Board’s Complaint alleged that Ms. Perkins’ conduct violated Rules 201, 406, 606(b), 607 and 701 of CFP Board’s Code of Ethics and Professional Responsibility and provided grounds for discipline pursuant to Article 3(a) of CFP Board’sDisciplinary Rules and Procedures (“Disciplinary Rules”).  Ms. Perkins failed to file an Answer to CFP Board’s Complaint within 20 calendar days of the date of service, as required by Article 7.3 of theDisciplinary Rules. Accordingly, pursuant to Article 7.4 of the Disciplinary Rules, the allegations set forth in the Complaint were deemed admitted, and CFP Board issued an Order of Revocation.TEXASCraig R. Brockman (Plano): In October 2010, CFP Board issued an order permanently revoking Mr. Brockman’s right to use the CFP® certification marks.  This discipline followed CFP Board’s investigation of allegations that Mr. Brockman: 1) failed to timely file a client’s tax returns, resulting in penalties imposed on the client; and 2) filed for Chapter 7 personal bankruptcy on April 11, 2007.  CFP Board’s Complaint alleged that Mr. Brockman’s conduct violated Rules 102, 201, 606(b), 607 and 701 of CFP Board’s Code of Ethics and Professional Responsibility and provided grounds for discipline pursuant to Article 3(a) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Mr. Brockman failed to file an Answer to CFP Board’s Complaint within 20 calendar days of the date of service, as required by Article 7.3 of the Disciplinary Rules.  Accordingly, pursuant to Article 7.4 of the Disciplinary Rules, the allegations set forth in the Complaint were deemed admitted, and CFP Board issued an Order of Revocation.Brian Y. Horne (El Paso): In December 2010, following a hearing by CFP Board’s Appeals Committee, CFP Board issued an order permanently revoking Mr. Horne’s right to use the CFP® certification marks.  This discipline followed CFP Board’s investigation of allegations that pursuant to a settlement, the Financial Industry Regulatory Authority, Inc. (“FINRA”) barred Mr. Horne from association with any broker, dealer or investment adviser for: 1) failing to supervise a registered representative; and 2) permitting his firm to participate in securities offerings in violation of a prior NASD discipline.  The Commission determined that Mr. Horne’s conduct violated Rules 201, 406, 606(a), 606(b) and 607 of CFP Board’s Code of Ethics and Professional Responsibility and provided grounds for discipline pursuant to Articles 3(a), 3(d) and 3(e) of CFP Board’s Disciplinary Rules and Procedures (“Disciplinary Rules”).  Following a hearing in June 2010, the Commission revoked Mr. Horne’s right to use the CFP® certification marks, pursuant to Article 4.4 of the Disciplinary Rules.  Mr. Horne appealed the matter, and CFP Board’s Appeals Committee affirmed the Order of Revocation.ABOUT CFP BOARDThe mission of Certified Financial Planner Board of Standards, Inc. is to benefit the public by granting the CFP® certification and upholding it as the recognized standard of excellence for personal financial planning. The Board of Directors, in furthering CFP Board’s mission, acts on behalf of the public, CFP® certificants and other stakeholders. CFP Board owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNERâ ¢, and the federally registered CFP (with flame design) in the U.S., which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.  CFP Board currently authorizes more than 61,000 individuals to use these marks in the U.S.SOURCE Certified Financial Planner Board of Standards, Inc. WASHINGTON, Feb. 15, 2011 /PRNewswire-USNewswire/ FloridaAndrew W. MacGillTampaSuspension UtahRobert P. AamodtFarmingtonLetter of Admonition VermontCarol A. GeskeSouth BurlingtonSuspension PennsylvaniaBradley K. AdamsNewtownSuspension TexasBrian Y. HorneEl PasoRevocation New YorkThomas W. LaundrieGarden CityRevocation IllinoisAlgird M. NorkusOak BrookInterim Suspensionlast_img read more


Tag: 爱上海NT

Arsenal manager Arsene Wenger has warned his side cannot expect any “presents” from their Barclays Premier League rivals this season as the Gunners look to mount a long-overdue sustained title challenge. “The fact that of the four top teams last year, three have changed manager will certainly create the most interest to see how they all respond to that,” Wenger told Arsenal Player. “These teams changed managers, but there is a stability there [in terms of the players], so that shouldn’t create too much uncertainty. “(But) let’s not expect presents from these clubs because that would be the wrong way to go into the championship – let’s just think they will be as strong as ever and make sure that we are strong.” England midfielder Alex Oxlade-Chamberlain – who was one of three Gunners involved against Scotland at Wembley on Wednesday – also stressed Arsenal must deliver consistency, having gone on an unbeaten 10-match league run at the end of last season. “We have got to focus on our job in hand,” he said. “I am sure for the neutral looking in, with the managerial changes and players coming in, it always makes it exciting, that is what the Premier League is all about. “I am sure it is going to be a really good season, another exciting one.” Chief executive Ivan Gazidis may have talked up Arsenal’s new “financial firepower” at the end of last season, but so far the only confirmed signing has been France Under-21 forward Yaya Sanogo, and that was on a free transfer from Auxerre. Arsenal, who failed to land Real Madrid’s Gonzalo Higuain earlier in the summer, continue to pursue wantaway Liverpool striker Luis Suarez, but will have to up their bid to closer the £50 million demanded to close out the protracted transfer. Wolfsburg have, meanwhile, moved to deny reports a £17million deal for Brazil midfielder Luiz Gustavo has been agreed, while 20-year-old Lille winger Florian Thauvin is also said to be on Wenger’s radar, together with Romania forward Ciprian Marica following his release by Schalke. While the Gunners boss clearly is determined to bolster his squad, albeit not in time for next week’s crucial Champions League play-off first leg against Fenerbahce in Turkey, Wenger accepts patience will be key as the clock ticks down towards the September 2 deadline. “We are active. We are in a situation like Manchester United, like Chelsea, where everybody expects signings and at the moment not a lot has happened,” the Arsenal manager said. “There are 18 days to go, so that is a long time in the transfer market and we will be active. “I cannot certify what the number [of players coming in will be], but we will be active until the end, that is for sure.” Arsenal have fitness doubts over several players ahead of the Villa game, including England forward Theo Walcott (knee), midfielders Mikel Arteta (thigh) and Aaron Ramsey (ankle). The Gunners, meanwhile, have announced Bodog as their official Asian betting partner in a three-year, multi-million pound deal. The Emirates Stadium club enjoyed a successful pre-season tour to Indonesia, Vietnam and Japan earlier this summer as they continue to develop the Arsenal brand in new markets. Press Association With the retirement of Sir Alex Ferguson, Wenger is now the longest-serving boss in the top flight, while the managerial changes at both Manchester City and Chelsea could offer Arsenal the advantage of stability when the new campaign kicks off this weekend. Wenger, though, warned against any suggestions life would thus be made somewhat more straightforward for Arsenal, who have not won a trophy since 2005. read more