Page 1 of 1 , 23 Items in Total
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Summary: Whether a candidate for CFP® certification could be certified when his securities license had previously been revoked by a state securities division.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.

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.

27721 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Outside Business Activity; Employer Policy Violation
Matter Type(s): FINRA Discipline; Other Professional Discipline
Decision Date: 07/20/2012
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when his employer terminated him because he sold fixed-indexed annuities outside without his employer’s approval, and in violation of his employer’s policy.

27823 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professional Discipline; Outside Business Activity; Previous Discipline
Matter Type(s): CFP Board
Decision Date: 07/23/2012
Summary: Whether a registrant (“Respondent”) who had been suspended from using the CFP® certification marks (“CFP® marks”) provided sufficient evidence to obtain reinstatement.

27934 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Judgment Lien
Matter Type(s): Civil Court
Decision Date: 07/18/2013
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when CFP Board discovered Respondent’s involvement in three Internal Revenue Service (“IRS”) tax liens allegedly totaling approximately $173,000 for tax years 2007, 2008 and 2009.

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”).

30022 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Customer Complaints; Fitness; Professional Discipline; Forgery
Matter Type(s): Regulatory Action
Decision Date: 04/11/2017
Summary: Whether a Professional Eligible for Reinstatement (“Respondent”) could have his certification reinstated when he altered client documents.

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.

29666 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professional Discipline; Fitness
Matter Type(s): Termination; Regulatory Action
Decision Date: 12/04/2015
Summary: Whether a candidate for CFP® certification could be certified when he copied clients’ signatures from signed insurance documents that had been emailed to him onto hard copies of the documents without the clients’ knowledge or authorization, which violated his firm’s policies, Financial Industry Regulatory Authority, Inc. (“FINRA”) rules and state law.

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.

27811 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Unauthorized Use of the Marks
Matter Type(s): CFP Board
Decision Date: 07/20/2012
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he used the CFP® certification marks (“CFP® marks”) in his campaign for political office four years after he had relinquished his CFP® certification.

Page 1 of 1 , 23 Items in Total