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16502 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Fraud-Other; Unauthorized Transaction; Disclosure to Clients; Professionalism; Misrepresentation; Employer Policy Violation; Professional Discipline; Securities Laws Violation; Diligence
Standard(s) Violated: Article 406; 606(a); Article 3(a); 102; 704; 606(b); 607; 201; 701
Matter Type(s): Civil Court
Decision Date: 11/10/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he sold promissory notes without receiving prior approval from his firm, resulting in: 1) a National Association of Securities Dealers (“NASD”) bar; 2) two terminations; and 3) two civil suits being filed against him.

21702 – Anonymous Case History
Decision: Suspension
Keyword(s): Judgment Lien; Fraud-Other; Misrepresentation; Court Order Violation; Disclosure to CFP Board; Other Ethics; Professionalism
Standard(s) Violated: Article Article 3(a); 607; Article 3(f); 102; 606(b); 201; 602; 606(a)
Matter Type(s): Professionalism
Decision Date: 02/26/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) was found to have engaged in a fraudulent transfer of real property; 2) was sanctioned for intentional spoliation of data from his computers in violation of a court protective order; and 3) did not pay enrollment fees for a continuing education course he attended, and did not provide proof of payment upon CFP Board’s request.

30507 – Anonymous Case History
Decision: Delay---Petition; Petition-for-Consideration---Denied
Keyword(s): Petition-for-Consideration; Unauthorized-use-of-CFP-Marks; Fraud-Other; Misrepresentation
Standard(s) Violated: Article Fitness-Standards
Matter Type(s): Unauthorized-use-of-CFP-Marks; Civil Suit; Customer-Complaints
Decision Date: 06/12/2018
Summary:

Whether a CFP® applicant (“Respondent”) failed to meet CFP Board’s Fitness Standards when: (1) She misrepresented the cost of various insurance policies, and engaged in misleading sales tactics to convince clients to purchase insurance plans; and (2) her firm used CFP® marks on the Respondent’s firm profile page before Respondent was certified.


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