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31121 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Settlement; Misrepresentation; Continuing Education Violation; CE-Credit
Standard(s) Violated: Article Article 3(g); Article 3(a); 6.2
Matter Type(s): Case Developed By Staff
Decision Date: 02/01/2019
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when she self-reported to CFP Board over a four-year period that she had completed approximately 43 Continuing Education (“CE”) courses (45 credit hours), yet was unable to provide evidence showing that she did in fact complete the courses.


31331 – Anonymous Case History
Decision: Suspension
Keyword(s): Misrepresentation; Continuing Education Violation
Standard(s) Violated: Article Article 3(g); 6.2
Matter Type(s): Case Developed By Staff
Summary:

Whether a CFP® violated CFP Board’s Standards of Professional Conduct when he failed to complete required continuing education credits (“CE”) and made false and misleading statements to CFP Board.


31330 – Anonymous Case History
Decision: Suspension
Keyword(s): Misrepresentation; Continuing Education Violation
Standard(s) Violated: Article Article 3(g); 6.2
Matter Type(s): Case Developed By Staff
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he failed to complete required continuing education credits (“CE”) and made false and misleading statements to CFP Board.


31119 – Anonymous Case History
Decision: Suspension
Keyword(s): Fraud Related to Professional Activity; Continuing Education Violation; Misrepresentation
Standard(s) Violated: Article 2.1; 6.2; Article 3(g); 6.5
Matter Type(s): Case Developed By Staff
Decision Date: 10/01/2018
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he falsely self-reported to CFP Board that he had completed more than 30 Continuing Education (“CE”) courses providing approximately 80 hours of credits during three CE reporting. 


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