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22622 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Unauthorized Use of the Marks
Standard(s) Violated: Article 601
Matter Type(s): Client Dissatisfaction
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he used the CFP® certification marks while not certified.

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.

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