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22124 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Arbitration; Previous Discipline; Customer Complaints; Professional Discipline
Matter Type(s): CFP Board
Decision Date: 11/07/2008
Summary: Whether a registrant provided sufficient evidence to warrant reinstatement of his CFP® certification following a period of suspension.

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Summary: Whether a candidate for CFP® certification could be certified when his securities license had previously been revoked by a state securities division.

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