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23870 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Failure to Notify CFP Board; Disclosure to CFP Board; Felony-Non-Violent Crime; Fitness; Serious Crime; Misdemeanor
Standard(s) Violated: Article Article 3(c); Article 3(a); Article 3(g); 607
Matter Type(s): Criminal Court
Decision Date: 04/16/2010
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of Conspiracy to Possess Marijuana with Intent to Distribute and Conspiracy to Distribute Cocaine.

30507 – Anonymous Case History
Decision: Delay---Petition; Petition-for-Consideration---Denied
Keyword(s): Petition-for-Consideration; Unauthorized-use-of-CFP-Marks; Fraud-Other; Misrepresentation
Standard(s) Violated: Article Fitness-Standards
Matter Type(s): Unauthorized-use-of-CFP-Marks; Civil Suit; Customer-Complaints
Decision Date: 06/12/2018
Summary:

Whether a CFP® applicant (“Respondent”) failed to meet CFP Board’s Fitness Standards when: (1) She misrepresented the cost of various insurance policies, and engaged in misleading sales tactics to convince clients to purchase insurance plans; and (2) her firm used CFP® marks on the Respondent’s firm profile page before Respondent was certified.


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