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31074 – Anonymous Case History
Decision: Suspension
Keyword(s): Disclosure to CFP Board; Felony-Non-Violent Crime; DUI/DWI
Standard(s) Violated: Article Article 3(c); 6.5
Decision Date: 10/01/2018
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he was convicted of Driving Under the Influence (“DUI”), which in this case was a class 4 felony because of prior misdemeanor convictions.


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.

21350 – Anonymous Case History
Decision: Suspension
Keyword(s): Employer Policy Violation; Fraud Related to Professional Activity; Felony-Non-Violent Crime; Misrepresentation; Fitness
Standard(s) Violated: Article 102; 607
Matter Type(s): Criminal Court
Decision Date: 08/03/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct by pleading no contest to a third-degree felony for transmitting materials harmful to a minor, when adjudication was withheld.

21533 – Anonymous Case History
Decision: Suspension
Keyword(s): Professionalism; Misdemeanor; DUI/DWI; Settlement; Felony-Non-Violent Crime
Standard(s) Violated: Article Article 3(c); Article 3(a); 607; Article 12.2
Matter Type(s): Civil Court
Decision Date: 11/07/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when she was convicted of: 1) leaving the scene of an accident involving a serious injury, which is a felony; and 2) driving under the influence, which is a misdemeanor.

22079 – Anonymous Case History
Decision: Private Censure
Keyword(s): Felony-Non-Violent Crime; Settlement
Standard(s) Violated: Article Article 3(c); 607; Article 3(a)
Matter Type(s): Criminal Court
Decision Date: 07/11/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when, in 1976, he pleaded guilty to possession of, with intent to deliver, marijuana, which is a felony.

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.

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.

22374 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Felony-Non-Violent Crime
Standard(s) Violated: Article Article 3(a); 606(a)
Matter Type(s): Civil Court; Professionalism; Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he did not disclose a felony conviction as required by his state department of insurance.

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.

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.

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.

22747 – Anonymous Case History
Decision: Private Censure
Keyword(s): Felony-Non-Violent Crime; Professional Discipline; Fitness
Standard(s) Violated: Article 607; Article 3(c); 606(a); Article 3(a)
Matter Type(s): Civil Court; Criminal Court
Decision Date: 12/15/2009
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of a felony and did not disclose the felony conviction as required by his state department of insurance.

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.

23687 – Anonymous Case History
Decision: Suspension
Keyword(s): Bankruptcy; Failure to Cooperate with Staff
Standard(s) Violated: Article Article 3(a)
Matter Type(s): Civil Court
Decision Date: 04/25/2011
Summary: Whether a registrant (“Respondent”) violated CFP Board’s Standards of Professional Conduct (“Standards“) when he filed for Chapter 7 Bankruptcy protection in 2009.

1 2 3 4 5 Next Page 1 of 6 , 127 Items in Total