Page 1 of 1 , 22 Items in Total
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.


30570 – Anonymous Case History
Decision: Suspension
Keyword(s): Outside Business Activity; Previous Discipline
Standard(s) Violated: Article Article 3(d); Article 3(a); 5.1; 4.3
Matter Type(s): FINRA Discipline
Decision Date: 07/01/2017
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he participated in private securities transactions without providing prior written notice to or obtaining approval from the Firm.   


14399 – Anonymous Case History
Decision: Suspension
Keyword(s): Record-Keeping; Failure to Notify CFP Board; Outside Business Activity; Previous Discipline; Conflict of Interest
Standard(s) Violated: Article 406; Article 3(a); 606(a); Article 3(e); 607; 606(b); 407(a)
Matter Type(s): FINRA Arbitration; Civil Court
Decision Date: 08/10/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he conducted outside business activities without disclosing them to his employer and without obtaining his employer’s approval.

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.

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.

22350 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Previous Discipline; Disclosure to CFP Board; Securities Laws Violation; Supervision
Standard(s) Violated: Article Article 12.2; Article 3(e); 406; 606(b); 607; 606(a); Article 3(a)
Matter Type(s): FINRA Discipline; Professionalism
Decision Date: 06/21/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he performed supervisory functions without proper registration and received a Financial Industry Regulatory Authority, Inc. (“FINRA” formerly known as National Association of Securities Dealers or “NASD”) suspension and fine as a result.

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.

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.

22754 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Previous Discipline; Professional Discipline
Matter Type(s): CFP Board
Decision Date: 08/10/2009
Summary: Whether a registrant who had been suspended from using the CFP® certification marks provided enough evidence to obtain reinstatement.

23012 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Previous Discipline
Matter Type(s): Professionalism
Decision Date: 03/26/2010
Summary: Whether a CFP® professional who had been suspended from using the CFP® certification marks provided sufficient evidence to obtain reinstatement.

23870 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Failure to Notify CFP Board; Disclosure to CFP Board; Felony-Non-Violent Crime; Fitness; Serious Crime; Misdemeanor
Standard(s) Violated: Article Article 3(c); Article 3(a); Article 3(g); 607
Matter Type(s): Criminal Court
Decision Date: 04/16/2010
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of Conspiracy to Possess Marijuana with Intent to Distribute and Conspiracy to Distribute Cocaine.

25970 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Felony-Non-Violent Crime; Fitness
Matter Type(s): Civil Court; Criminal Court
Decision Date: 10/20/2011
Summary: Whether a registrant for CFP® certification (“Respondent”) could be certified when he was convicted of three felony counts of attempted gross sexual imposition and one felony count of gross sexual imposition within five years of applying for certification.

26440 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Misdemeanor; Fitness; Felony-Non-Violent Crime
Matter Type(s): Criminal Court
Decision Date: 12/01/2011
Summary: Whether a candidate for CFP® certification ("Respondent") could be certified when he committed three theft-related felonies as a juvenile.

27332 – Anonymous Case History
Decision: Suspension
Keyword(s): Failure to Cooperate with Staff; Felony-Non-Violent Crime
Standard(s) Violated: Article 6.1; 6.5
Matter Type(s): Criminal Court; Civil Court
Decision Date: 04/11/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when the State charged him with felony possession of child pornography, which he later pleaded down to felony unauthorized access to a computer.

27823 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professional Discipline; Outside Business Activity; Previous Discipline
Matter Type(s): CFP Board
Decision Date: 07/23/2012
Summary: Whether a registrant (“Respondent”) who had been suspended from using the CFP® certification marks (“CFP® marks”) provided sufficient evidence to obtain reinstatement.

28329 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Previous Discipline
Matter Type(s): CFP Board
Decision Date: 04/02/2013
Summary: Whether a CFP® professional (“Respondent”), who was suspended from using the CFP® certification marks, provided sufficient evidence to obtain reinstatement.

28412 – Anonymous Case History
Decision: Suspension
Keyword(s): Settlement; Felony-Non-Violent Crime
Standard(s) Violated: Article 6.5; 5.1; 3.1; 3.2
Matter Type(s): Criminal Court
Decision Date: 01/07/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he entered a plea of guilty on two felony charges and was sentenced to three years’ probation and a $10,000.00 fine for: 1) participating personally, substantially and willfully in a matter as an employee of the Internal Revenue Service (“IRS”) in which he and an organization with whom he was negotiating employment had a financial interest; and 2) willfully disclosing tax return information to another as an employee of the IRS.

30782 – Anonymous Case History
Decision: Private Censure
Keyword(s): Employer Policy Violation; Unauthorized Transaction; Felony-Non-Violent Crime
Standard(s) Violated: Article Article 3(a); Article 3(d); 4.3
Matter Type(s): Employer Action; Criminal; Criminal Court
Decision Date: 02/01/2018
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: (1) performed 40 unauthorized trades in a deceased person’s account; (2) failed to notify his firm of the death of two advisory clients, in violation of firm policy; and (3) accidentally brought a loaded firearm into an international airport and, thereafter, pled guilty to felony charges. 

29425 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; DUI/DWI; Felony-Non-Violent Crime
Standard(s) Violated: Article 607; 6.5
Matter Type(s): Criminal Court
Decision Date: 03/25/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of misdemeanor Reckless Driving in 2005 and misdemeanor driving under the influence (“DUI”) in 2014.

29364 – Anonymous Case History
Decision: Private Censure
Keyword(s): Record-Keeping; Previous Discipline
Standard(s) Violated: Article 5.1; 4.3; 6.5
Matter Type(s): Other Professional Discipline
Decision Date: 04/10/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he failed to: 1) adopt and implement written policies and procedures for his firm; 2) review and document the review of such policies and procedures at least annually; and 3) failed to accurately state in his Form ADV Part 2A that he did not complete advisory contracts for all of his clients.

Page 1 of 1 , 22 Items in Total