Page 1 of 1 , 11 Items in Total
19915 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Diligence; Arbitration; Misrepresentation
Matter Type(s): FINRA Arbitration
Decision Date: 11/11/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he did not deliver requested stock certificates to a client (“Client”) after the Client purchased shares of stock in a company.

21848 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Suitability; Diligence
Matter Type(s): Client Dissatisfaction
Decision Date: 11/11/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct by failing to inform a husband and wife who were his investment advisory clients of an impending lapse of life insurance policies he had previously sold to them while acting as their insurance broker.

21874 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Suitability; Arbitration; Misrepresentation
Matter Type(s): CFP Board
Decision Date: 11/11/2008
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was the subject of a client complaint related to the liquidity of an Auction Rate Security.

21956 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Settlement; Diligence
Matter Type(s): Civil Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he allegedly allowed a client’s (“Client”) insurance policy to lapse, leaving the Client uninsured at the time of his death.

22175 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Bankruptcy; Professionalism
Matter Type(s): Civil Court
Decision Date: 11/11/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when she was involved in Chapter 13 and Chapter 7 bankruptcies prior to submitting her Initial Certification Application.

25810 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Commission/Compensation
Matter Type(s): FINRA Discipline
Decision Date: 11/28/2011
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he executed several variable life settlement transactions in which he charged commisions that the Financial Industry Regulatory Authority, Inc. ("FINRA") alleged were excessive, unreasonable and unfair.

27090 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Bankruptcy
Matter Type(s): Civil Court
Decision Date: 04/26/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Rules of Conduct when she filed for Chapter 7 Bankruptcy in 2009

27435 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Bankruptcy
Standard(s) Violated: Article 6.5
Matter Type(s): Civil Court
Decision Date: 04/26/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Rules of Conduct when he filed for Chapter 7 Bankruptcy.

28296 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Commission/Compensation
Standard(s) Violated: Article 6.5; 2.2(a); 2.1
Matter Type(s): Professionalism
Decision Date: 05/15/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he represented that he was a salaried employee of his firm.

28846 – Anonymous Case History
Decision: Dismiss--No Merit
Matter Type(s): Criminal Court
Decision Date: 03/09/2015
Summary: Whether a CFP® professional (“Respondent”) demonstrated that his conduct did not pose an immediate threat to the public and that the gravity of the conduct did not impinge upon the stature and reputation of the CFP® certification marks (“CFP® marks”) when the State charged Respondent with two felonies and a misdemeanor relating to his transfer of funds from his father-in-law to an account by controlled by his wife and sister-in-law.

29015 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Fee-Only; Commission/Compensation
Matter Type(s): Other Professional Discipline
Decision Date: 12/17/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he publicly misrepresented his compensation method as “fee only” to clients and prospective clients on CFP Board’s “Find a CFP® Professional” search tool.

Page 1 of 1 , 11 Items in Total