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18109 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Misrepresentation; Fraud Related to Professional Activity; Professionalism; Professional Discipline
Standard(s) Violated: Article Article 3(c); Article 3(a); Article 3(e); 607; 102; 201; 606(a)
Matter Type(s): Civil Court
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct (“Standards”) when he pleaded guilty to one count of conspiring to commit tax evasion and one count of tax evasion.

22054 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professionalism; Employer Policy Violation; Misdemeanor; Forgery; Settlement; Diligence
Standard(s) Violated: Article Article 3(a); 102; 606(a); 701; 606(b); 607
Matter Type(s): Other Professional Discipline; Criminal Court
Decision Date: 11/25/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) was convicted of driving under the influence and; 2) was asked to resign from a financial services firm (“Firm”) after he photocopied a client’s (“Client”) signature onto a Firm document.

22111 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Judgment Lien
Matter Type(s): Civil Court
Decision Date: 08/08/2008
Summary: Whether a candidate for CFP® certification could be certified when she had six judgment liens on her record.

22124 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Arbitration; Previous Discipline; Customer Complaints; Professional Discipline
Matter Type(s): CFP Board
Decision Date: 11/07/2008
Summary: Whether a registrant provided sufficient evidence to warrant reinstatement of his CFP® certification following a period of suspension.

22313 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Judgment Lien
Matter Type(s): Civil Court
Decision Date: 03/27/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he previously had a judgment lien issued against him.

22725 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Bankruptcy
Matter Type(s): Civil Court
Decision Date: 02/26/2009
Summary: Whether a candidate for CFP® certification should be certified when he had previously filed for bankruptcy.

22754 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Previous Discipline; Professional Discipline
Matter Type(s): CFP Board
Decision Date: 08/10/2009
Summary: Whether a registrant who had been suspended from using the CFP® certification marks provided enough evidence to obtain reinstatement.

22788 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Bankruptcy
Matter Type(s): Client Dissatisfaction; Civil Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification could be certified when he filed for bankruptcy within five years prior to applying for certification.

22894 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professional Discipline; Fitness
Matter Type(s): Client Dissatisfaction; Other Professional Discipline; FINRA Arbitration
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification could be certified when she had been censured and subject to a two-week bar by the New York Stock Exchange more than 15 years prior to submitting an Initial Certification Application with CFP Board.

23153 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Revocation of a Financial Professional License; Professional Discipline; Fitness
Matter Type(s): Other Professional Discipline
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification could be certified when his securities license had previously been revoked by a state securities division.

23296 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professional Discipline; Fitness
Matter Type(s): Other Professional Discipline
Decision Date: 12/02/2009
Summary: Whether a candidate for CFP® certification could be certified when he had previously had his real estate license suspended by a state department of real estate.

23368 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Bankruptcy; Fitness
Matter Type(s): Civil Court
Decision Date: 11/24/2009
Summary: Whether a candidate for CFP® certification should be certified when he filed for bankruptcy within five years prior to submitting an Initial Application for CFP® Certification.

25200 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Commission/Compensation; Misrepresentation; Conflict of Interest; Loaning to Client; Disclosure to Clients; Securities Laws Violation; Competency; Commingling; Fiduciary Duty; Diligence
Standard(s) Violated: Article 402; 301; 606(b); Article 3(a); 607; 102; 606(a); 103(d); 302; 701; 403
Matter Type(s): CFP Board
Decision Date: 03/25/2011
Summary: Whether an applicant for reinstatement of his CFP® certification (“Respondent”) demonstrated rehabilitation by clear and convincing evidence that he complied with all disciplinary orders and provisions of the Disciplinary Rules and Procedures and is, once again, fit to use the CFP®, CERTIFIED FINANCIAL PLANNER™, and certification marks.

25880 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Bankruptcy; Fitness
Matter Type(s): Civil Court
Decision Date: 07/25/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he filed for bankruptcy five years prior to applying for certification.

26107 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Bankruptcy; Fitness
Matter Type(s): Criminal Court
Decision Date: 07/22/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he filed for Chapter 7 Bankruptcy within five years prior to applying for certification.

26149 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Felony-Violent Crime
Matter Type(s): Civil Court; Criminal Court
Decision Date: 07/22/2011
Summary: Whether a candidate for ® certification (“Respondent”) could be certified when he pleaded guilty in 1995 to transmitting in interstate commerce a threat to injure another person, a felony.

26150 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professionalism; Forgery; Disclosure to Clients; Fitness
Matter Type(s): Professionalism; Other Professional Discipline; FINRA Discipline
Decision Date: 07/25/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he received a suspension from association with any National Association of Securities Dealers (“NASD”) member in any capacity for 30 days in 2004.

26166 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness
Matter Type(s): SEC Discipline; FINRA Discipline; Client Dissatisfaction
Decision Date: 03/19/2012
Summary: Whether a candidate for CFP® certification ("Respondent") could be certifed when he was the subject of a Securities and Exchange Commission ("SEC") cease and disist order, censure and civil penalty due to: 1) recommended that 17 brokerage customers (three of whom were also advisory clients) engaged in two rounds of "switchs" by misrepresenting to the customers that the customer would recover the surrender charges paid in the old annuities through bonuses received in the new annuities; and 2) Respondent's failure to adequately reflect liabilities on Respondent's broker-dealer's books and records causing a net capital deficiency.

26175 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Judgment Lien
Matter Type(s): Civil Court
Decision Date: 07/27/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when she had two judgment liens filed against her.

26440 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Misdemeanor; Fitness; Felony-Non-Violent Crime
Matter Type(s): Criminal Court
Decision Date: 12/01/2011
Summary: Whether a candidate for CFP® certification ("Respondent") could be certified when he committed three theft-related felonies as a juvenile.

26603 – Anonymous Case History
Decision: Granted Petition
Matter Type(s): Client Dissatisfaction
Decision Date: 03/27/2012
Summary: Whether a candidate for CFP® certification ("Respondent") could be certified when he was the subject of a 2006 Customer Complaint and a 2006 National Association of Securities Dealers ("NASD", now known as the Financial Industry Regulatory Authority, Inc. or "FINRA") Letter of Caution.

26699 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Bankruptcy
Matter Type(s): Civil Court
Decision Date: 12/02/2011
Summary: Whether a candidate for CFP® certificaton ("Respondent") could be certified when she filed for Chapter 7 Bankruptcy less than five years prior to applying for certification.

26835 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Employer Policy Violation; Fitness; Diligence
Matter Type(s): Other Professional Discipline; Criminal Court
Decision Date: 11/30/2011
Summary: Whether a candidate for CFP® certification ("Respondent") could be certified when he was terminated by his firm in 2007 and investigated by the Financial Industry Regulatory Authority, Inc. ("FINRA").

26837 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Diligence
Matter Type(s): Client Dissatisfaction; Civil Court
Decision Date: 12/01/2011
Summary: Whether a candidate for CFP® certification ("Respondent") could be certified when he was the subject of a 2009 customer complaint involving an error in a financial plan and erroneous advice regarding a variable annuity.

1 2 3 Next Page 1 of 3 , 66 Items in Total