Page 1 of 1 , 22 Items in Total
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.

22111 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Judgment Lien
Matter Type(s): Civil Court
Decision Date: 08/08/2008
Summary: Whether a candidate for CFP® certification could be certified when she had six judgment liens on her record.

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.

22313 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Judgment Lien
Matter Type(s): Civil Court
Decision Date: 03/27/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he previously had a judgment lien issued against him.

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.

22588 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Settlement; Judgment Lien
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 due to his involvement in a 2007 Internal Revenue Service tax lien in the amount of $143,503.33.

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.

23124 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Judgment Lien
Matter Type(s): Civil Court
Decision Date: 11/30/2009
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he incurred two municipal tax liens, a civil judgment and a mortgage note.

23702 – Anonymous Case History
Decision: Private Censure
Keyword(s): Judgment Lien; Bankruptcy; Settlement; Fitness
Standard(s) Violated: Article Article 3(a); 607
Matter Type(s): Civil Court; Client Dissatisfaction
Decision Date: 03/29/2010
Summary: Whether an applicant for reinstatement of his CFP® certification violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy in 2005 and was the subject of a 2008 judgment lien.

23806 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Judgment Lien; Fitness; Bankruptcy; Failure to Respond to CFP Board
Standard(s) Violated: Article Article 3(a); 607
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 he did not respond to a Complaint issued to him by CFP Board.

24381 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Fitness; Judgment Lien; Bankruptcy
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 he filed for Chapter 7 Bankruptcy protection in 2007.

25199 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professional Discipline; Failure to Respond to CFP Board; Failure to Repay Loan to Firm; Failure to Notify CFP Board; Judgment Lien; Professionalism
Standard(s) Violated: Article 6.4; Article 3(e); 606(b); 6.5; Article 3(d); Article 3(f); 607; Article 3(a)
Matter Type(s): FINRA Arbitration
Decision Date: 07/22/2011
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.

25401 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Bankruptcy; Judgment Lien; Professional Discipline
Matter Type(s): FINRA Discipline
Decision Date: 06/21/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he filed for Chapter 7 Bankruptcy within five years prior to submitting an Initial Application for CFP® certification and was suspended by the Financial Industry Regulatory Authority, Inc. (“FINRA,” formerly known as the National Association of Securities Dealers or “NASD”).

25860 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy; Judgment Lien; Settlement
Standard(s) Violated: Article Article 3(a)
Matter Type(s): Civil Court
Decision Date: 04/05/2011
Summary: Whether a registrant (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for bankruptcy in 2010.

26175 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Judgment Lien
Matter Type(s): Civil Court
Decision Date: 07/27/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when she had two judgment liens filed against her.

26904 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Judgment Lien; Fitness; Bankruptcy
Standard(s) Violated: Article 6.5
Matter Type(s): Civil Court
Decision Date: 02/14/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when she: 1) ceased making mortage payments on a commerical property she owned, resulting in a Judgment of Foreclosuer against her for approximately $1,000,000; and 2) filed for Chapter 7 Bankruptcy.

26931 – Anonymous Case History
Decision: Private Censure
Keyword(s): Forgery; Judgment Lien; Customer Complaints
Standard(s) Violated: Article 6.5; 201; 607; 4.3; 4.4
Decision Date: 04/11/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: 1) assisted a client with obtaining restitution from an insurance company after taking two withdrawals in an Annuity contract year with the knowledge that it would reduce the guaranteed withdrawal benefits of the Annuity; and 2) altered dates on a client document.

27934 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Judgment Lien
Matter Type(s): Civil Court
Decision Date: 07/18/2013
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when CFP Board discovered Respondent’s involvement in three Internal Revenue Service (“IRS”) tax liens allegedly totaling approximately $173,000 for tax years 2007, 2008 and 2009.

28442 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Misrepresentation; Fitness; Judgment Lien
Matter Type(s): Civil Court
Decision Date: 12/06/2013
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when CFP Board discovered the following: 1) a 2005 Civil Judgment for approximately $24,000 (“2005 Judgment”) and 2) a 2008 Internal Revenue Service (“IRS”) Federal Tax Lien for approximately $58,000 (“2008 IRS Tax Lien”).

29430 – Anonymous Case History
Decision: Suspension
Keyword(s): Judgment Lien
Standard(s) Violated: Article 6.5
Matter Type(s): Judgments/Liens
Decision Date: 07/31/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he failed to file taxes for a number of years and had an outstanding amount owed to the Internal Revenue Service (“IRS”) in excess of $136,000.

29473 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Professional Discipline; Unauthorized Use of the Marks; Outside Business Activity; Judgment Lien; Unauthorized Transaction; Employer Policy Violation
Matter Type(s): Other Professional Discipline; FINRA Arbitration
Decision Date: 08/05/2016
Summary: Whether a candidate for CFP® certification could be certified when he: 1) invested personal in an outside investment without obtaining prior approval from his firm; 2) referred former clients to, and facilitated investments in, the same outside investment; 3) wilfully failed to amend his Form U4 to report three unsatisfied tax liens; 4) falsely certified to his firm on several occasions that he had complied with his obligation to timely update his Form U4 regarding unsatisfied tax liens; 5) consented to a one-year suspension by the Financial Industry Regulatory Authority, Inc. (“FINRA” formerly known as the National Association of Securities Dealers or “NASD”) due to the aforementioned conduct; and 6) used the CFP® marks when he was not authorized to do so.

29538 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Bankruptcy; Felony-Tax; Judgment Lien
Standard(s) Violated: Article 6.5; Article 3(a); Article 3(g)
Matter Type(s): Bankruptcies; Judgments/Liens
Decision Date: 03/25/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) filed Chapter 7 Bankruptcy in 1990 and again in 2014; and 2) informed CFP Board on multiple renewal applications for CFP® certification that he had not been a defendant or respondent in a civil action including, but not limited to, a lawsuit, arbitration or mediation relating to his professional activities when in 2009, Respondent was a defendant in a class action lawsuit concerning his professional activities.

Page 1 of 1 , 22 Items in Total