Charter Revoked

Anyone know of any truly high profile revocations? Did anyone from the recent ponzis/insider trading trials have a charter that was revoked? People always talk about getting theirs revoked for talking about the exam questions or some other crap, but I don’t know of anyone who did something really wrong and got canned for it.

The CFA Institute magazine (Not FAJ) describes disciplinary actions against people. If you can get your hands on some old issues…

Indeed, in the most recent issue listed someone who got his charter revoked for insider trading. There is actually quite a bit of space dedicated to disciplinary outcomes in the magazine; makes for sobering reading!

Check out this site:

How would CFAI even find out about a violation unless someone reports it to them? CFAI probably misses most violations because they have no way of finding out, other than through news and random people telling them. Also, I would say that Jeffrey Chiang is a pretty high profile case - he is probably more famous than 99% of finance people.

^ I agree. That guy became infamous because it went viral.

cityboy Wrote: ------------------------------------------------------- > Check out this site: > > > urrent_industry_related_sanctions.aspx gold jerry, gold!

Some pretty weird cases in here. Check out Gustafsson, Nicklas Keith (Sweden) for one.

That is just out there. Would love to see the response to the CFAI!