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30411 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): DUI/DWI; Third-DUI-Offense; Misdemeanor
Standard(s) Violated: Article Article 3(c); Article 3(a); 6.5
Matter Type(s): Criminal Court; Criminal
Decision Date: 02/01/2018
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of DUI, Second Offense, his third DUI conviction since 1989.  
 

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.

14424 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Fitness; Misdemeanor
Standard(s) Violated: Article Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 03/26/2010
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he pleaded guilty to misdemeanor assault.

15094 – Anonymous Case History
Decision: Suspension
Keyword(s): Misuse of the Marks; Lawsuits Involving Financial Matters; Arbitration; Customer Complaints; Disclosure to Clients; Suitability; Diligence; Professionalism; Misrepresentation
Standard(s) Violated: Article Article 3(a); 607; 601; 201; 704; 606(b); 701; 102
Matter Type(s): FINRA Arbitration
Decision Date: 08/11/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) recommended variable annuities to elderly clients; and 2) omitted the registered trademark symbol when referring to CFP® on his letterhead, certification salutations and documents.

16145 – Anonymous Case History
Decision: Suspension
Keyword(s): Professional Discipline; Fraud Related to Professional Activity; Customer Complaints; Suitability; Settlement; Diligence; Record-Keeping; Fitness; Disclosure to Clients; Client's Best Interest; Lawsuits Involving Financial Matters; Negligence; Competency
Standard(s) Violated: Article 606(a); 201; 401(a); Article 3(a); 405; 402; 606(b); 607; 102
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: 1) treated a client’s payments as nontaxable gifts rather than taxable income; 2) did not disclose the income on his 2000 and 2001 state and federal tax returns; 3) did not disclose to a client the potential for a conflict of interest in serving as the appointed trustee of a trust and as an investment adviser for the trust; 4) double and triple charged clients for services; and 5) failed to disclose commissions.

19812 – Anonymous Case History
Decision: Private Censure
Keyword(s): Diligence; Settlement; Lawsuits Involving Financial Matters; Negligence; Misrepresentation; Breach of Contract; Fiduciary Duty
Standard(s) Violated: Article 701
Matter Type(s): Civil Court
Decision Date: 08/24/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when a state civil court found him liable for violation of a state Consumer Protection Act after the wife of a former client (“Client”) lost her claim for benefits due to an inaccurate answer on the Client’s life insurance application.

20420 – Anonymous Case History
Decision: Private Censure
Keyword(s): Suitability; Churning; Lawsuits Involving Financial Matters; Professional Discipline; Unauthorized Transaction; Diligence; Misrepresentation
Standard(s) Violated: Article Article 3(a); 701; 703; 201
Matter Type(s): Other Professional Discipline; Professionalism; FINRA Arbitration; Civil Court
Decision Date: 03/06/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he executed numerous trades in the account of a client without her approval.

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.

21787 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Fraud Related to Professional Activity; Diligence; Disclosure to Clients; Securities Laws Violation; Misrepresentation; Unauthorized Use of the Marks; Professional Discipline; Breach of Contract; Suitability; Commingling; Lawsuits Involving Financial Matters; C
Standard(s) Violated: Article 607; 102; 704; Article 3(a); 201; Article 3(g); 103(d); 606(b); 606(a); 601; 701
Matter Type(s): Client Dissatisfaction
Decision Date: 02/27/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) did not fully inform his client (“Client”) as to the nature of an investment he made for her and did not provide risk disclosure documents to her; 2) did not inform the Client about a civil suit he initiated against the company that offered the product; 3) did not research the company that offered the product before the Client invested in it; 4) commingled his investment funds with the Client’s; 5) used the CFP® marks while not certified; and 6) violated federal and state securities regulations.

21850 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; Professionalism
Standard(s) Violated: Article 607; Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 08/08/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he was charged with indecent exposure, a state crime.

21922 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; Felony-Theft; Embezzlement or Other Financial
Standard(s) Violated: Article Article 3(c); 607
Matter Type(s): Criminal Court
Decision Date: 08/08/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he was involved in a petty larceny offense during college.

22005 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Misdemeanor; Disclosure to CFP Board
Standard(s) Violated: Article 612; Article 3(g); Article 3(a); 607; Article 3(c)
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 he did not disclose his involvement in a misdemeanor theft on the Declaration Section of his Initial Certification Application.

22048 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor
Standard(s) Violated: Article Article 3(c); 607
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 she had been involved in a misdemeanor theft during college.

22054 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professionalism; Employer Policy Violation; Misdemeanor; Forgery; Settlement; Diligence
Standard(s) Violated: Article Article 3(a); 102; 606(a); 701; 606(b); 607
Matter Type(s): Other Professional Discipline; Criminal Court
Decision Date: 11/25/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) was convicted of driving under the influence and; 2) was asked to resign from a financial services firm (“Firm”) after he photocopied a client’s (“Client”) signature onto a Firm document.

22131 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor
Standard(s) Violated: Article Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 11/07/2008
Summary: Whether a candidate for CFP® certification ("Respondent") violated CFP Board’s Standards of Professional Conduct when his altercation with another individual resulted in two misdemeanor convictions against Respondent.

22203 – Anonymous Case History
Decision: Private Censure
Keyword(s): Disclosure to CFP Board; Settlement; Misdemeanor
Standard(s) Violated: Article Article 3(c); 607; Article 3(g); Article 3(a)
Matter Type(s): Civil Court
Decision Date: 02/27/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct by having two misdemeanor convictions and not disclosing them on his Initial Certification Application.

22317 – Anonymous Case History
Decision: Suspension
Keyword(s): Fitness; Settlement; Professional Discipline; Misdemeanor; Customer Complaints; Arbitration
Standard(s) Violated: Article Article 3(a); 606(a); 607
Matter Type(s): Other Professional Discipline; Client Dissatisfaction; FINRA Arbitration; Civil Court
Decision Date: 03/23/2010
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when: 1) multiple clients filed customer complaints and arbitrations against him; and 2) a state division of securities issued an order of intent to revoke his state securities license.

22388 – Anonymous Case History
Decision: Private Censure
Keyword(s): Professionalism; Misdemeanor
Standard(s) Violated: Article Article 3(c); 607
Matter Type(s): Criminal Court
Decision Date: 11/07/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he disclosed his involvement in a misdemeanor theft on his Initial Certification Application.

22586 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor; Professionalism
Standard(s) Violated: Article Article 3(a); 607; Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 02/26/2009
Summary: Whether a candidate for CFP® certification who was convicted of misdemeanor theft during college is eligible to be certified.

22598 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Failure to Notify CFP Board; Settlement; Misdemeanor; DUI/DWI
Standard(s) Violated: Article Article 3(a); Article 3(c); Article 3(e); 607
Matter Type(s): Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he pleaded guilty to a Driving Under the Influence charge in 2008, and did not notify CFP Board within 10 days of his criminal conviction.

22631 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Professional Discipline; Misdemeanor; Settlement
Standard(s) Violated: Article 607; 606(a); Article 3(a)
Matter Type(s): Criminal Court
Decision Date: 08/18/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he: 1) pleaded guilty to shoplifting in 1988; and 2) entered into a Consent Order with a state banking and insurance agency in 1998.

22655 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; Settlement; Disclosure to CFP Board
Standard(s) Violated: Article Article 3(c); 607; Article 3(g); Article 3(a)
Matter Type(s): Criminal Court
Decision Date: 02/26/2009
Summary: Whether an applicant for CFP® certification violated CFP Board’s Standards of Professional Conduct when he failed to disclose his involvement in a misdemeanor theft on his Initial Certification Application.

22868 – Anonymous Case History
Decision: Suspension
Keyword(s): Interim Suspension; Failure to Notify CFP Board; Misdemeanor
Standard(s) Violated: Article Article 3(c); Article 3(a); 607
Matter Type(s): Criminal Court
Decision Date: 04/25/2011
Summary: Whether a CFP® certificant adequately proved under CFP Board’s Standards of Professional Conduct that he did not pose an immediate threat to the public after he: 1) pleaded guilty to a second-degree criminal misdemeanor; and 2) did not report the plea to CFP Board within 10 calendar days.

23037 – Anonymous Case History
Decision: Private Censure
Keyword(s): Diligence; Customer Complaints; Fitness; Client's Best Interest; Disclosure to Clients; Fraud Related to Professional Activity; Lawsuits Involving Financial Matters; Professionalism; Misrepresentation
Standard(s) Violated: Article 409; 607; Article 3(a); 606(b); 102; 201; 606(a); 202
Matter Type(s): Client Dissatisfaction
Decision Date: 06/21/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he failed to inform his financial planning client that he was renting her property below the market price and that he exercised discretionary authority over her online account without obtaining prior written authorization from the client and principal approval from Respondent’s firm.

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