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31059 – Anonymous Case History
Decision: Bar-from-Taking-CFP-Certification-Exam
Keyword(s): Employer Policy Violation; Settlement; Misrepresentation; Certification-Exam
Standard(s) Violated: Article Candidate-NDA-Violation; Application-Agreement-Violation
Matter Type(s): Exam
Decision Date: 02/01/2019
Summary:

Whether a CFP® professional violated the terms of the CFP® Exam Application and CFP Board’s Non-Disclosure Agreement for Candidates by engaging in exam-related misconduct when she (a) forged two documents indicating that she had passed the CFP® Exam when she had not; (b) communicated to her superiors and several colleagues that she had passed the CFP® Exam when she had not; and (c) asked for a pay raise based on her misrepresentation that she passed the CFP® Exam.


31277 – Anonymous Case History
Decision: Bar-from-Taking-CFP-Certification-Exam
Keyword(s): Settlement; Cheating; Certification-Exam
Standard(s) Violated: Article Candidate-NDA-Violation; CFP-Certification-Examination-Agreement
Matter Type(s): Exam
Decision Date: 02/01/2019
Summary:

Whether a Candidate for CFP® certification violated the terms of the CFP® Exam Application and CFP Board’s Non-Disclosure Agreement for Candidates (“NDA”) by engaging in exam misconduct when he accessed an electronic device from his locker during an unscheduled break while taking the CFP® exam and reviewed CFP® Exam content contained on that electronic device.


31302 – Anonymous Case History
Decision: Settlement--Relinquish; Bar-from-Taking-CFP-Certification-Exam
Keyword(s): Cheating; Certification-Exam
Standard(s) Violated: Article Candidate-NDA-Violation
Matter Type(s): Exam
Summary: Whether a CFP® candidate (“Respondent”) violated the terms of the CFP® Certification Examination Agreement (“Examination Agreement”), the CFP® Exam Candidate Handbook (“Handbook”), and Vendor’s Test Center Regulations by bringing written notes into the testing room with him and transcribing the information onto his scratch paper during the tutorial. 

30735 – Anonymous Case History
Decision: Bar-from-Taking-CFP-Certification-Exam
Keyword(s): Exam
Matter Type(s): Exam
Decision Date: 10/01/2017
Summary: Whether a CFP® professional (“Respondent”) violated the terms of the CFP® Exam Application, Vendor’s Testing Center Regulations, and CFP Board’s Non-Disclosure Agreement (“NDA”) by engaging in exam misconduct or other testing irregularity that could compromise the integrity of the exam, including when he: (a) denied that he had removed a sheet of the scratch paper from the scratch booklet; (b) failed to return the scratch paper to the TCA when requested; and (c) concealed and removed the scratch paper, with written examination information, from the Testing Center.

30047 – Anonymous Case History
Decision: Revocation
Keyword(s): Commission/Compensation; Fiduciary Duty; civil-judgements; Customer Complaints; Judgment Lien
Standard(s) Violated: Article 1.4; 4.1; 4.3; 4.5; 400-2; 500-2; Article-13.2; Article 3(g)
Matter Type(s): Customer Complaint; Other Professional Discipline; Liens and judgments
Decision Date: 04/01/2019
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he was permanently barred by a state securities commissioner for 1) unreasonable fees and Breach of Fiduciary Duty for collecting a management fee of $39,727.95 while client accounts earned $332.46 money market interest, 2) failing to maintain a positive net worth at all times and failing to disclose it, and 3) failing to disclose two civil judgments and two customer complaints.


30692 – Anonymous Case History
Decision: Revocation
Keyword(s): Failure-to-Disclose; Due-Diligence; Failure-to-Disclose-to-Firm; Outside Business Activity
Standard(s) Violated: Article Article-3(e)-3(d); 5.1; 4.4; 4.3; 4.2
Matter Type(s): Failure to Disclose to CFP Board; FINRA Regulatory Action; FINRA Discipline
Decision Date: 06/01/2018
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: (1) engaged in an undisclosed outside business activity; (2) failed to perform due diligence in connection with the outside business activity, leading to a bar by the Financial Industry Regulatory Authority (“FINRA”); and (3) failed to disclose his FINRA bar to CFP Board.


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