Page 1 of 1 , 6 Items in Total
22111 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Judgment Lien
Matter Type(s): Civil Court
Decision Date: 08/08/2008
Summary: Whether a candidate for CFP® certification could be certified when she had six judgment liens on her record.

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.

22313 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Judgment Lien
Matter Type(s): Civil Court
Decision Date: 03/27/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he previously had a judgment lien issued against him.

26175 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Judgment Lien
Matter Type(s): Civil Court
Decision Date: 07/27/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when she had two judgment liens filed against her.

27934 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Judgment Lien
Matter Type(s): Civil Court
Decision Date: 07/18/2013
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when CFP Board discovered Respondent’s involvement in three Internal Revenue Service (“IRS”) tax liens allegedly totaling approximately $173,000 for tax years 2007, 2008 and 2009.

30047 – Anonymous Case History
Decision: Revocation
Keyword(s): Commission/Compensation; Fiduciary Duty; civil-judgements; Customer Complaints; Judgment Lien
Standard(s) Violated: Article 1.4; 4.1; 4.3; 4.5; 400-2; 500-2; Article-13.2; Article 3(g)
Matter Type(s): Customer Complaint; Other Professional Discipline; Liens and judgments
Decision Date: 04/01/2019
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he was permanently barred by a state securities commissioner for 1) unreasonable fees and Breach of Fiduciary Duty for collecting a management fee of $39,727.95 while client accounts earned $332.46 money market interest, 2) failing to maintain a positive net worth at all times and failing to disclose it, and 3) failing to disclose two civil judgments and two customer complaints.


Page 1 of 1 , 6 Items in Total