Page 1 of 1 , 17 Items in Total
23036 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Fitness; Judgment Lien; Bankruptcy
Matter Type(s): Civil Court
Decision Date: 12/03/2009
Summary: Whether an applicant for reinstatement violated CFP Board’s Standards of Professional Conduct when he filed for bankruptcy in 2008.

23440 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Bankruptcy; Fitness
Matter Type(s): Criminal Court
Decision Date: 11/25/2009
Summary: Whether a candidate for CFP® certification could be certified when he filed for bankruptcy within five years of submitting his Initial Application for CFP® Certification.

23865 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Bankruptcy
Matter Type(s): Civil Court
Decision Date: 03/26/2010
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he filed bankruptcy within five years prior to submitting an Initial Application for CFP ® Certification (“Application”).

23900 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Bankruptcy; Fitness
Matter Type(s): Criminal Court; Civil Court; Client Dissatisfaction
Decision Date: 03/26/2010
Summary: Whether a candidate for CFP® certification could be certified when he filed for bankruptcy within five years prior to submitting an Initial Application for CFP® Certification.

25401 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Bankruptcy; Judgment Lien; Professional Discipline
Matter Type(s): FINRA Discipline
Decision Date: 06/21/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he filed for Chapter 7 Bankruptcy within five years prior to submitting an Initial Application for CFP® certification and was suspended by the Financial Industry Regulatory Authority, Inc. (“FINRA,” formerly known as the National Association of Securities Dealers or “NASD”).

25975 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Bankruptcy; Fitness
Matter Type(s): Civil Court
Decision Date: 08/22/2011
Summary: Whether an applicant for reinstatement of her CFP® certification (“Respondent”) could be certified when she filed for bankruptcy within five years prior to applying for certification.

25978 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Client Dissatisfaction; Civil Court
Decision Date: 11/09/2011
Summary: Whether a Registrant, i.e. an individual who is not currently certified but has been certified by CFP Board in the past and is eligible to reinstate her certification without being required to pass the current CFP® Certification Examination (“Respondent”), could be certified when she filed for Chapter 7 bankruptcy within five years prior to applying for reinstatement of her certification.

26023 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Bankruptcy; Fitness
Matter Type(s): Civil Court
Decision Date: 08/22/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he filed for bankruptcy within five years prior to applying for certification.

26167 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Fitness; Bankruptcy
Decision Date: 09/20/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he filed for Chapter 7 Bankruptcy within five years prior to applying for certification.

26177 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Civil Court
Decision Date: 11/09/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he filed for Chapter 7 Bankruptcy within five years prior to applying for certification.

26196 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Civil Court
Decision Date: 11/09/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when she had filed for bankruptcy within five years prior to submitting her Initial Application for CFP® Certification.

26317 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Professionalism
Decision Date: 11/09/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he filed for bankruptcy within five years prior to submitting his Initial Application for CFP® Certification.

26390 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Bankruptcy; Fitness
Matter Type(s): CFP Board
Decision Date: 02/14/2012
Summary: Whether a candidate for CFP® certification ("Respondnet") could be certified when he filed for Chapter 7 Bankruptcy less that five years prior to applying for certification.

26658 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Professionalism
Decision Date: 11/28/2011
Summary: Whether a registrant ("Respondent") could be certified when he filed for Chapter 7 Bankruptcy protection less that five years prior to applying for certification.

26958 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Bankruptcy; Fitness
Matter Type(s): Civil Court
Decision Date: 11/28/2011
Summary: Whether a registrant for CFP® certification ("Respondent") could be certified when she filed for Chapter 13 Bankruptcy less than five years prior to applying for certification.

27019 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Civil Court
Decision Date: 02/14/2012
Summary: Whether a registrant for CFP® certification ("Respondent") could be certified when she filed for Chapter 7 Bankruptcy less than five years prior to applying for reinstatement.

27640 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article 6.5; 4.4; 4.1; 5.1; 4.3; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 07/20/2012
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when his employer terminated him because he sold fixed-indexed annuities outside without his employer’s approval, and in violation of his employer’s policy.

Page 1 of 1 , 17 Items in Total