Page 1 of 1 , 8 Items in Total
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.

22380 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Bankruptcy; Fitness
Matter Type(s): Criminal Court; Civil Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification could be certified when she had filed for bankruptcy within five years prior to submitting her Initial Certification Application.

22720 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Civil Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification could be certified when he had filed for bankruptcy within five years prior to submitting his Initial Certification Application.

22753 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Bankruptcy; Fitness
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 submitting an Initial Certification Application.

26834 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Bankruptcy
Matter Type(s): FINRA Arbitration; Civil Court; Other Professional Discipline
Decision Date: 11/28/2011
Summary: Whether a candidate for CFP® certification ("Respondent") could be certified when he filed for Chapter 7 Bankruptcy less than five years prior to applying for certification.

26941 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Civil Court
Decision Date: 11/28/2011
Summary: Whether a registrant for CFP® certification ("Respondent") could be certified when he filed for Chapter 7 Bankruptcy less than five years prior to applying for CFP® certification.

28516 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Bankruptcy; Fitness
Matter Type(s): Civil Court
Decision Date: 08/09/2013
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he disclosed on his Reinstatement Application that he filed a second Chapter 7 Bankruptcy in 2009 (“2009 Bankruptcy”).

29667 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Securities Laws Violation; Failure to Cooperate with Staff
Matter Type(s): Regulatory Action
Decision Date: 08/05/2016
Summary: Whether a candidate for CFP® certification could be certified when she: 1) operated a place of business in State without disclosing the address to the State Securities Division and by not filing a uniform branch office registration form reflecting the additional business location; 2) failed to maintain accurate and complete financial statements and audit working papers related to her investment advisory business; 3) failed to cooperate with CFP Board’s investigation of her conduct; and 4) used the CFP® marks when she was not authorized to do so.

Page 1 of 1 , 8 Items in Total