Page 1 of 1 , 3 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.

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”).

28442 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Misrepresentation; Fitness; Judgment Lien
Matter Type(s): Civil Court
Decision Date: 12/06/2013
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when CFP Board discovered the following: 1) a 2005 Civil Judgment for approximately $24,000 (“2005 Judgment”) and 2) a 2008 Internal Revenue Service (“IRS”) Federal Tax Lien for approximately $58,000 (“2008 IRS Tax Lien”).

Page 1 of 1 , 3 Items in Total