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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.

30586 – Anonymous Case History
Decision: Suspension
Keyword(s): Bankruptcy; Professional Discipline; Misrepresentation
Standard(s) Violated: Article Article 3(d); Article 3(a); 5.1; 6.5
Matter Type(s): Bankruptcies; FINRA Regulatory Action
Decision Date: 10/18/2017
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) knowingly submitted false expense reports to his firm, causing his firm to maintain inaccurate books and records; and 2) filed his second bankruptcy petition, a Chapter 11 Bankruptcy Petition, to avoid a possible Financial Industry Regulatory Authority, Inc’s (“FINRA”) award against him.  


29661 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy; Borrowing from Client
Standard(s) Violated: Article 1.4; 6.5; 3.6; 4.3
Matter Type(s): Regulatory Action
Decision Date: 04/25/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he entered into a loan with a client that he subsequently discharged in bankruptcy.

30008 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy; Professional Discipline
Standard(s) Violated: Article Article 3(e); Article 3(a); 6.5; Article 3(d)
Matter Type(s): Regulatory Action
Decision Date: 03/02/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he failed to amend his Form U4 to disclose his 2010 Chapter 7 bankruptcy until 2013, in violation of the Financial Industry Regulatory Authority, Inc. (“FINRA”) Rules 1122 and 2010.

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