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31311 – Anonymous Case History
Decision: Deny Reinstatement
Keyword(s): Employer Policy Violation; Reinstatement
Matter Type(s): Employer-Investigation; Employer Action; Criminal
Decision Date: 02/01/2019
Summary:

Whether a former CFP® professional met his burden to prove by clear and convincing evidence that he had been rehabilitated after a five year suspension when he (1) failed to provide any letters of reference from current clients or customers, supervisors, or colleagues to prove that his conduct since his suspension had been beyond reproach, and (2) failed to demonstrate that he had a proper understanding of CFP Board’s Standards of Professional Conduct (“Standards”). 


30804 – Anonymous Case History
Decision: Deny Reinstatement
Keyword(s): Suitability; Reinstatement
Matter Type(s): Application-for-Reinstatement
Decision Date: 10/01/2017
Summary:

Whether a petitioner, who had his right to use the CFP® certification suspended for a period of four years (“Respondent”), has proven by clear and convincing that he has been rehabilitated, has complied with all applicable disciplinary orders and provisions of CFP Board’s Disciplinary Rules, and that he is fit to use the CFP® marks.


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