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31176 – Anonymous Case History
Decision: Denied But Allow Reapplication; Denied Petition
Keyword(s): Misrepresentation; Public-Intoxication; DUI/DWI; Disclosure to CFP Board
Standard(s) Violated: Article Fitness-Standards
Matter Type(s): State Regulatory Action; Criminal
Decision Date: 02/01/2019
Summary:

Whether a candidate for CFP® certification (“Respondent”) should be certified when he had a history of alcohol-related convictions and arrests.


22271 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Competency; Other Ethics
Matter Type(s): CFP Board
Decision Date: 11/07/2008
Summary: Whether a registrant provided sufficient evidence to prove by clear and convincing evidence that his CFP® certification should be reinstated following a suspension of one year and one day.

24716 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Fiduciary Duty; Diligence; Revocation of a Financial Professional License; Fraud Related to Professional Activity; Employer Policy Violation; Professional Discipline; Misrepresentation
Matter Type(s): FINRA Discipline
Decision Date: 08/11/2010
Summary: Whether a candidate for CFP ® certification (“Respondent”) could be certified when he was suspended from association with any member of the National Association of Securities Dealers (“NASD”, now known as the Financial Industry Regulatory Authority or “FINRA”) in any capacity for five months in 2003 and issued a Desist and Refrain Order by the State Department of Corporations.

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