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14424 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Fitness; Misdemeanor
Standard(s) Violated: Article Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 03/26/2010
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he pleaded guilty to misdemeanor assault.

15250 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Arbitration; Misrepresentation; Professional Discipline; Disclosure to CFP Board; Suitability; Employer Policy Violation
Matter Type(s): FINRA Arbitration
Decision Date: 04/04/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he was named in two customer complaints that resulted in a National Association of Securities Dealers arbitration.

18761 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Lawsuits Involving Financial Matters; Professional Discipline; Arbitration
Matter Type(s): Other Professional Discipline
Decision Date: 04/25/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when: 1) a state securities division sanctioned Respondent’s firm (“Firm”) for fee- and records-related misconduct; and 2) husband and wife clients (“Clients”) filed an arbitration and a civil suit against him alleging misrepresentation and unsuitable investments.

21293 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Arbitration; Customer Complaints; Failure to Respond to CFP Board; Failure to Cooperate with Staff
Matter Type(s): FINRA Arbitration
Decision Date: 03/27/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he neither provided requested documents to CFP Board nor a written explanation of his attempts to retrieve them.

21409 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Disclosure to Clients; Lawsuits Involving Financial Matters; Record-Keeping; Misuse of the Marks
Matter Type(s): Civil Court
Decision Date: 03/27/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he was the subject of a civil suit by a client (“Claimant”) for recommendations he had made to Claimant regarding the purchase of a life insurance policy.

21727 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Securities Laws Violation; Failure to Register
Matter Type(s): Other Professional Discipline
Decision Date: 03/27/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he engaged in trades without first registering his new broker-dealer firm (“Firm”) in the state where the Firm is located.

22191 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Professionalism; Confidentiality; Arbitration; Outside Business Activity
Matter Type(s): FINRA Arbitration
Decision Date: 07/10/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he was involved in a 2008 Financial Industry Regulatory Authority Arbitration concerning an employment dispute with his former employer.

22243 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Other Ethics
Matter Type(s): Client Dissatisfaction
Decision Date: 03/27/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he did not follow the instructions of his client (“Grievant”) to liquidate all of Grievant’s investments.

22376 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Fitness; Competency; Judgment Lien
Matter Type(s): Civil Court
Decision Date: 08/10/2009
Summary: Whether an applicant for reinstatement of his CFP® certification violated CFP Board’s Standards of Professional Conduct when the Internal Revenue Service filed tax liens against him in 2003 and 2007.

22504 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor; Disclosure to CFP Board; Customer Complaints
Matter Type(s): Client Dissatisfaction; Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he failed to disclose to CFP Board that he was a defendant in a criminal proceeding and that he was the subject of a Financial Industry Regulatory Authority investigation.

22510 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Forgery; Disclosure to CFP Board
Matter Type(s): Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he failed to disclose that he was arrested for possession of a forged instrument.

22541 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Disclosure to Clients
Matter Type(s): Client Dissatisfaction
Decision Date: 11/25/2009
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he purchased a home from his client without making the disclosures required by the Code of Ethics.

22586 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor; Professionalism
Standard(s) Violated: Article Article 3(a); 607; Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 02/26/2009
Summary: Whether a candidate for CFP® certification who was convicted of misdemeanor theft during college is eligible to be certified.

22613 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor
Matter Type(s): Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® Certification violated CFP Board’s Standards of Professional Conduct when he was arrested for the criminal misdemeanor offense of operating a vehicle while intoxicated.

22731 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor; Fitness
Matter Type(s): Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he was convicted of a misdemeanor in 1985.

22748 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Supervision; Disclosure to CFP Board
Matter Type(s): Other Professional Discipline; FINRA Discipline
Decision Date: 02/26/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct after he had been subject to a Financial Industry Regulatory Authority (“FINRA”) inquiry and a FINRA Letter of Caution.

23124 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Judgment Lien
Matter Type(s): Civil Court
Decision Date: 11/30/2009
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he incurred two municipal tax liens, a civil judgment and a mortgage note.

23185 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor
Matter Type(s): Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he pleaded guilty to a misdemeanor theft charge in 1971.

23303 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Suitability; Customer Complaints
Matter Type(s): Client Dissatisfaction
Decision Date: 11/23/2010
Summary: Whether a CFP® certificant (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) prepared a financial plan and Monte Carlo simulation that deviated from the client’s goals and priorities; 2) did not contact the client to confirm a trade that Respondent knew the client wanted; 3) addressed the client’s concern over account losses by referring him to articles discussing the state of the economy; and 4) did not actively manage the client’s accounts.

23353 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Fitness; Bankruptcy
Standard(s) Violated: Article 607; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she filed for personal and business Chapter 7 bankruptcy protection in 2008.

24154 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Disclosure to Clients; Professional Discipline; Professionalism; Employer Policy Violation; Unauthorized Transaction; Fitness
Standard(s) Violated: Article 6.5; 5.1; 4.4; 4.3
Matter Type(s): Other Professional Discipline
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) executed a trade without the client’s written authorization; 2) emailed an updated Form ADV to a client; and 3) provided investment advice to an associate by email.

24381 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Fitness; Judgment Lien; Bankruptcy
Matter Type(s): Civil Court
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy protection in 2007.

24595 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Professional Discipline; Misrepresentation; Disclosure to CFP Board; Fraud Related to Professional Activity
Standard(s) Violated: Article Article 3(e); Article 12.2
Matter Type(s): FINRA Discipline
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) incorrectly filled out a Form U-5 regarding the termination of an employee; and 2) did not disclose the resulting suspensions and fine for $15,000 by the Financial Industry Regulatory Authority (“FINRA,” formerly known as the National Association of Securities Dealers or “NASD”) within 10 days as required by Article 12.2 of the Disciplinary Rules and Procedures (“Disciplinary Rules”).

26498 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Suitability; Diligence
Matter Type(s): Client Dissatisfaction
Decision Date: 08/21/2012
Summary: Whether aCFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) maintained that an investment (“Fund”) was still appropriate for the client and that the client would be “fine in a year,” while knowing Fund had declined significantly and the risk had unofficially changed; 2) did not recommend his client sell Fund when he learned from that Fund was riskier than he originally thought; and 3) violated employer policy and when he misrepresented Fund to his client, resulting in a cautionary letter from his broker-dealer.

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