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30897 – Anonymous Case History
Decision: Suspension
Keyword(s): Failure-to-Respond-to-Staff; Failure to Cooperate with Staff; Bankruptcy; Tax-Lien
Standard(s) Violated: Article Article 3(f); Article 3(a); 6.5
Decision Date: 06/12/2018
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: (1) incurred 2016 and 2017 IRS tax liens; (2) filed for Chapter 13 Bankruptcy in 2018; and (3) failed to timely and adequately respond to CFP Board’s Notices of Investigation.


11390 – Anonymous Case History
Decision: Suspension
Keyword(s): Arbitration; Failure to Notify CFP Board; Misappropriation; Breach of Contract; Bankruptcy; Misrepresentation; Forgery; Customer Complaints; Lawsuits Involving Financial Matters
Standard(s) Violated: Article 201; 607; Article 3(c); Article 3(a); 102; 606(b); Article 3(e)
Matter Type(s): Civil Court
Decision Date: 04/16/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: 1) filed for Chapter 7 Bankruptcy; 2) was convicted of Operating a Motor Vehicle While Ability Impaired by Alcohol; and 3) was the subject of a series of arbitrations and customer complaints from 2001 through 2007.

12594 – Anonymous Case History
Decision: Suspension
Keyword(s): Professionalism; Churning; Misrepresentation; Professional Discipline; Bankruptcy; Suitability; Forgery; Employer Policy Violation; Customer Complaints; Fraud Related to Professional Activity; Unauthorized Transaction; Fitness; Disclosure to Clie
Standard(s) Violated: Article 2.1; 606(a); Article 3(a); 606(b); 201; 607; 406; 102
Matter Type(s): FINRA Arbitration
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) was the subject of at least five customer arbitrations alleging unsuitability, unauthorized trading, misrepresentation, churning, fraud and violations of both state and federal securities laws; 2) was alleged to have falsified customer account documents; 3) was permitted to resign from his firm due to unacceptable business practices; and 4) filed for Chapter 7 Bankruptcy.

13221 – Anonymous Case History
Decision: Private Censure
Keyword(s): Arbitration; Competency; Disclosure to CFP Board; Customer Complaints
Standard(s) Violated: Article 612; Article 3(a)
Matter Type(s): FINRA Arbitration
Decision Date: 04/07/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he did not disclose his involvement in a National Association of Securities Dealers arbitration on his Certification Renewal Application.

16145 – Anonymous Case History
Decision: Suspension
Keyword(s): Professional Discipline; Fraud Related to Professional Activity; Customer Complaints; Suitability; Settlement; Diligence; Record-Keeping; Fitness; Disclosure to Clients; Client's Best Interest; Lawsuits Involving Financial Matters; Negligence; Competency
Standard(s) Violated: Article 606(a); 201; 401(a); Article 3(a); 405; 402; 606(b); 607; 102
Matter Type(s): Client Dissatisfaction
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) treated a client’s payments as nontaxable gifts rather than taxable income; 2) did not disclose the income on his 2000 and 2001 state and federal tax returns; 3) did not disclose to a client the potential for a conflict of interest in serving as the appointed trustee of a trust and as an investment adviser for the trust; 4) double and triple charged clients for services; and 5) failed to disclose commissions.

21048 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professional Discipline; Felony-Theft; Embezzlement or Other Financial; Securities Laws Violation; Competency; Fitness; Misrepresentation; Fraud Related to Professional Activity; Interim Suspension
Standard(s) Violated: Article 201; 607; Article 3(c); 606(b); 606(a); 102; 406; 302; Article 3(a)
Matter Type(s): Professionalism
Decision Date: 08/10/2009
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he: 1) sold securities to clients while not licensed to do so; 2) promised investors large returns and guaranteed their principal on fraudulent investments; and 3) pleaded guilty to a felony investment fraud charge.

22175 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Bankruptcy; Professionalism
Matter Type(s): Civil Court
Decision Date: 11/11/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when she was involved in Chapter 13 and Chapter 7 bankruptcies prior to submitting her Initial Certification Application.

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.

22290 – Anonymous Case History
Decision: Private Censure
Keyword(s): Judgment Lien; Fitness; Settlement; Bankruptcy
Standard(s) Violated: Article 607; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 08/10/2009
Summary: Whether an applicant for reinstatement of his CFP® certification violated CFP Board’s Standards of Professional Conduct when he filed for bankruptcy in 2004 and accrued various judgment liens.

22376 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Fitness; Competency; Judgment Lien
Matter Type(s): Civil Court
Decision Date: 08/10/2009
Summary: Whether an applicant for reinstatement of his CFP® certification violated CFP Board’s Standards of Professional Conduct when the Internal Revenue Service filed tax liens against him in 2003 and 2007.

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.

22451 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Competency; Employer Policy Violation; Professional Discipline; Commission/Compensation; Suitability; Failure to Respond to CFP Board; Failure to Notify CFP Board; Disclosure to CFP Board; Conflict of Interest; Disclosure to Clients
Standard(s) Violated: Article 302; 401(a); 606(a); 408; 406; Article 3(d); 201; Article 3(e); Article 3(f)
Matter Type(s): Client Dissatisfaction; FINRA Arbitration
Decision Date: 08/10/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) sold promissory notes to individuals who were not customers of his broker-dealer (“Broker-Dealer”) without notice to the Broker-Dealer; and 2) received compensation for the sale of the promissory notes without permission from the Broker-Dealer.

22513 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Diligence; Failure to Respond to CFP Board; Fitness; Bankruptcy; Client's Best Interest; Disclosure to CFP Board; Commingling; Borrowing from Client; Fraud Related to Professional Activity
Standard(s) Violated: Article 606(b); 102; 409; Article 3(a); 607; 201; 704; 103(d)
Matter Type(s): Client Dissatisfaction
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he did not respond to a Complaint issued to him by CFP Board.

22702 – Anonymous Case History
Decision: Private Censure
Keyword(s): Competency; Suitability; Fiduciary Duty; Misrepresentation; Diligence
Standard(s) Violated: Article Article 3(a); 201; 701; Article 3(g)
Matter Type(s): FINRA Arbitration
Decision Date: 08/10/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) recommended that a client (“Client”) invest her entire individual retirement account portfolio in equity mutual funds; 2) illustrated the performance of the equity funds to the Client with an inappropriately high rate of return; and 3) did not obtain further information from the Client after she indicated conflicting investment goals.

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.

22725 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Bankruptcy
Matter Type(s): Civil Court
Decision Date: 02/26/2009
Summary: Whether a candidate for CFP® certification should be certified when he had previously filed for bankruptcy.

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.

22788 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Bankruptcy
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 applying for certification.

23036 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Fitness; Judgment Lien; Bankruptcy
Matter Type(s): Civil Court
Decision Date: 12/03/2009
Summary: Whether an applicant for reinstatement violated CFP Board’s Standards of Professional Conduct when he filed for bankruptcy in 2008.

23113 – Anonymous Case History
Decision: Private Censure
Keyword(s): Arbitration; Bankruptcy; Failure to Repay Loan to Firm; Professionalism
Standard(s) Violated: Article Article 3(a); 607
Matter Type(s): Civil Court; Other Arbitration
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy as a result of his inability to pay back a loan to his employer (“Firm”).

23271 – Anonymous Case History
Decision: Suspension
Keyword(s): Bankruptcy; Settlement
Standard(s) Violated: Article Article 3(a); 607
Matter Type(s): Civil Court
Decision Date: 12/02/2009
Summary: Whether an applicant for reinstatement of his CFP® certification violated CFP Board’s Standards of Professional Conduct when he had filed for bankruptcy twice.

23353 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Fitness; Bankruptcy
Standard(s) Violated: Article 607; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she filed for personal and business Chapter 7 bankruptcy protection in 2008.

23368 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Bankruptcy; Fitness
Matter Type(s): Civil Court
Decision Date: 11/24/2009
Summary: Whether a candidate for CFP® certification should be certified when he filed for bankruptcy within five years prior to submitting an Initial Application for CFP® Certification.

23440 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Bankruptcy; Fitness
Matter Type(s): Criminal Court
Decision Date: 11/25/2009
Summary: Whether a candidate for CFP® certification could be certified when he filed for bankruptcy within five years of submitting his Initial Application for CFP® Certification.

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