Page 1 of 1 , 13 Items in Total
18109 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Misrepresentation; Fraud Related to Professional Activity; Professionalism; Professional Discipline
Standard(s) Violated: Article Article 3(c); Article 3(a); Article 3(e); 607; 102; 201; 606(a)
Matter Type(s): Civil Court
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct (“Standards”) when he pleaded guilty to one count of conspiring to commit tax evasion and one count of tax evasion.

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.

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.

22894 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professional Discipline; Fitness
Matter Type(s): Client Dissatisfaction; Other Professional Discipline; FINRA Arbitration
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification could be certified when she had been censured and subject to a two-week bar by the New York Stock Exchange more than 15 years prior to submitting an Initial Certification Application with CFP Board.

23153 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Revocation of a Financial Professional License; Professional Discipline; Fitness
Matter Type(s): Other Professional Discipline
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification could be certified when his securities license had previously been revoked by a state securities division.

23296 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professional Discipline; Fitness
Matter Type(s): Other Professional Discipline
Decision Date: 12/02/2009
Summary: Whether a candidate for CFP® certification could be certified when he had previously had his real estate license suspended by a state department of real estate.

27197 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professional Discipline; Employer Policy Violation
Matter Type(s): FINRA Discipline; Other Professional Discipline
Decision Date: 03/30/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he was censured and fined by the Securities and Exchange Commission ("SEC") for: 1) failing to ensure that his firm ("Firm") maintained complete and accurate employee records; 2) instructing an associated person to backdate employment-related documents; and 3) knowingly submitted the backdated documents to the SEC without disclosing that they were backdated.

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.

28795 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Unauthorized Transaction; Professional Discipline; Employer Policy Violation
Matter Type(s): Other Professional Discipline; FINRA Discipline
Decision Date: 04/11/2014
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when she was the subject of a 2007 Termination from Firm and a 2007 Federal Industry Regulatory Authority, Inc. (“FINRA”) Letter of Acceptance, Waiver and Consent (“AWC”) stemming from her exercise of discretion in the accounts of 33 Firm customers without first having obtained written customer authorization that was accepted by her Firm..

30022 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Customer Complaints; Fitness; Professional Discipline; Forgery
Matter Type(s): Regulatory Action
Decision Date: 04/11/2017
Summary: Whether a Professional Eligible for Reinstatement (“Respondent”) could have his certification reinstated when he altered client documents.

30606 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professional Discipline; Employer Policy Violation; Advertising
Matter Type(s): Other Professional Discipline
Decision Date: 10/18/2017
Summary:

Whether a candidate for CFP® certification (“Respondent”), could be certified when he improperly reviewed and approved forms prior to the registered representatives signing the Forms and, in doing so, attested to the accuracy of a document which had not been signed or dated by the registered representative.


29666 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professional Discipline; Fitness
Matter Type(s): Termination; Regulatory Action
Decision Date: 12/04/2015
Summary: Whether a candidate for CFP® certification could be certified when he copied clients’ signatures from signed insurance documents that had been emailed to him onto hard copies of the documents without the clients’ knowledge or authorization, which violated his firm’s policies, Financial Industry Regulatory Authority, Inc. (“FINRA”) rules and state law.

30455 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Forgery; Professional Discipline
Summary: Whether a candidate for CFP® certification could be certified when he received a Cautionary Action Letter from the Financial Industry Regulatory Authority, Inc. (“FINRA”) for signing another employee’s initials on a form.

Page 1 of 1 , 13 Items in Total