Page 1 of 1 , 4 Items in Total
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.

27721 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Outside Business Activity; Employer Policy Violation
Matter Type(s): FINRA Discipline; Other Professional Discipline
Decision Date: 07/20/2012
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when his employer terminated him because he sold fixed-indexed annuities outside without his employer’s approval, and in violation of his employer’s policy.

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.

30692 – Anonymous Case History
Decision: Revocation
Keyword(s): Failure-to-Disclose; Due-Diligence; Failure-to-Disclose-to-Firm; Outside Business Activity
Standard(s) Violated: Article Article-3(e)-3(d); 5.1; 4.4; 4.3; 4.2
Matter Type(s): Failure to Disclose to CFP Board; FINRA Regulatory Action; FINRA Discipline
Decision Date: 06/01/2018
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: (1) engaged in an undisclosed outside business activity; (2) failed to perform due diligence in connection with the outside business activity, leading to a bar by the Financial Industry Regulatory Authority (“FINRA”); and (3) failed to disclose his FINRA bar to CFP Board.


Page 1 of 1 , 4 Items in Total