Page 1 of 1 , 15 Items in Total
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.

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.

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.

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.

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.

26994 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Bankruptcy
Matter Type(s): Civil Court
Decision Date: 11/28/2011
Summary: Whether a candidate for CFP® certification ("Respondent") could be certified when he filed for Chapter 7 Bankruptcy ten months prior to applying for certification.

27192 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Bankruptcy
Matter Type(s): Civil Court
Decision Date: 03/27/2012
Summary: Whether a CFP® professional who had been suspended from using the CFP® certification marks provided sufficient evidence to obtain reinstatement.

28638 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Civil Court
Decision Date: 12/23/2013
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when she filed for Chapter 7 Bankruptcy protection in 1992 (“1992 Bankruptcy”) and Chapter 13 Bankruptcy protection in 2010 (“2010 Bankruptcy”).

26700 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Professionalism
Decision Date: 08/09/2012
Summary: Whether a registrant ("Respondent") could be certified when he filed for Chapter 7 Bankruptcy protection less than five years prior to applying for certification.

29970 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Bankruptcies
Decision Date: 03/25/2016
Summary: Whether a candidate for CFP® certification could be certified when she filed for Chapter 7 Bankruptcy in 2003 and Chapter 13 Bankruptcy in 2004.

Page 1 of 1 , 15 Items in Total