Page 1 of 1 , 3 Items in Total
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.

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.

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.

Page 1 of 1 , 3 Items in Total