Page 1 of 1 , 11 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.

25970 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Felony-Non-Violent Crime; Fitness
Matter Type(s): Civil Court; Criminal Court
Decision Date: 10/20/2011
Summary: Whether a registrant for CFP® certification (“Respondent”) could be certified when he was convicted of three felony counts of attempted gross sexual imposition and one felony count of gross sexual imposition within five years of 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.

28212 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Misdemeanor; Fitness; DUI/DWI
Matter Type(s): Criminal Court
Decision Date: 03/29/2013
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when was convicted for Driving While Impaired (“DWI”) in 2005, 2006 and 2009.

30536 – Anonymous Case History
Decision: Reinstatement
Keyword(s): Misdemeanor; Fitness
Matter Type(s): Criminal
Decision Date: 04/10/2017
Summary: Whether a candidate for CFP® certification (“Respondent”), could be certified when she was convicted of 2nd degree misdemeanor assault.

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.

30000 – Anonymous Case History
Decision: Denied Petition
Keyword(s): DUI/DWI; Fitness
Matter Type(s): Criminal; Regulatory Action
Decision Date: 03/25/2016
Summary: Whether a candidate for CFP® certification could be certified when he was the subject of a 2014 criminal misdemeanor conviction for Disorderly Conduct, a 2015 State 1 Insurance Department (“State 1”) Order of Denial, a 2014 State 2 Department of Insurance (“State 2”) Issuance of Restricted License, a 2008 criminal misdemeanor conviction for Minor Consuming Alcohol, a 2009 criminal misdemeanor conviction for Underage Consumption, a 2011 criminal misdemeanor conviction for Underage Consumption and a 2014 criminal misdemeanor conviction for Careless Driving.

Page 1 of 1 , 11 Items in Total