This arbitration involves a wealthy plaintiff who suffered significant financial harm when the defendant financial planner allegedly altered her account without permission. The defendant CFP initially attempted to put approximately $5 million in funds into a non-qualified investment account but was unable to do so. The defendant then attempted to move the funds back to a qualified tax-deferred account. As a result, the plaintiff ended up paying more than $2.5 million in taxes and lost investments. These actions were all performed without the plaintiff’s express permission. An expert CFP to opine on this case and testify at arbitration.