CFA ethics violaters/misconduct list

Anyone know where I can see this list online?

Industry sanction list (probably incomplete):

But hey, Jeffrey Chiang is there.

^ yea I noticed that too. He “failed to answer an inquiry and provide evidence”

I guess that means he didn’t forward his fake offer letter from "Bank Of Ameria"

Is it strange that I was sad that I didn’t know anyone on that list?

Anyone see the dude who was done for posting on porn sites with his name and CFA designation. Qutie a good read rather than the other boring ethics/misconduct violations on there.

Gustafsson is there.


Additionally, the CFA Institute Professional Conduct Program found unprofessional commentary on internet pornographic chat sites, apparently posted by Mr. Gustafsson, where his name included the CFA designation

Apparently when they asked to respond to the PCP enquiry he sent them a whole lot of porn and a letter full of expletives.

What a guy…

good read.

how come the guy still continue to use CFA designation on his website?

Who can stop him? Anyone can use it I’d imagine

CFA needs to set up chapters so people can walk in and ask question and apply…hate the fact CFA is just some institute out in the middle of nowhere…i bet they can hire tons of classy babes to sit around there…

Man look at that dude’s leather jackets, shades, and feathered hair. If he doesn’t make me want to represent JCole, CFA to the fullest, I don’t know what would.

this is quite harsh, he must’ve worked so hard for his CFA and one stupid action and his designation goes down the drain.

So many people are fearful of the all-powerful CFA Institute with all the sanctions and penalities they put on people. But the truth of the matter is: what is their enforcement power?

Will they come to your house and haul you to prison? No.

Can they get the website host to kill off the website? No.

Can they get you charged with a crime? or hell, a misdeameanor? No.

If this guy had his CFA once before, did some violations, but keeps putting CFA behind his name, there’s nothing CFAI can do about it except complain about it with a letter and post it on their website that he’s in violation.

If the guy isn’t doing finance related work, I doubt CFAI will pursue him

I think they can file a civil complaint and pursue it through the courts. I do believe they would do this.

  1. Misdemeanors are crimes.

  2. He can be arrested for fraud if any client discovers that he presented himself as having a professional designation that he doesn’t.

Yeah, though I seriously doubt whether this dude has any clients. If he does, they’re even bigger muppets than Goldman’s clients.

well guess what, the guy’s violation was back in 2006. He clearly hasn’t been arrested. And oh look, the website still has CFA behind his name.