Page 1 of 1 , 4 Items in Total
31048 – Anonymous Case History
Decision: Petition-for-Consideration---Denied
Keyword(s): DUI/DWI; Legal-Reinstatement
Standard(s) Violated: Article Article 3(c); Article 3(a); 6.5
Matter Type(s): Criminal; Reinstatement
Decision Date: 02/01/2019
Summary:

Whether a former CFP® professional met his burden to prove by clear and convincing evidence that he had been rehabilitated after a two-year suspension when (1) he failed to provide testimonies or letters of recommendations regarding treatment for alcohol addiction; and (2) he offered no specific evidence sufficient to demonstrate that he has a proper understanding of CFP Board’s Standards of Professional Conduct (“Standards”) and is willing to act in conformity with the Standards


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.

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.

31137 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Failure-to-Disclose; DUI/DWI
Standard(s) Violated: Article Fitness-Standards
Matter Type(s): State Regulatory Action; FINRA Regulatory Action; Criminal
Decision Date: 02/01/2019
Summary:

Whether a CFP® candidate should be certified when she (a) was convicted twice of Driving While Intoxicated, the first being a Misdemeanor and the second being a Gross Misdemeanor, and (b) failed to disclose a “State A” Order of Denial on her insurance application.


Page 1 of 1 , 4 Items in Total