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25200 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Commission/Compensation; Misrepresentation; Conflict of Interest; Loaning to Client; Disclosure to Clients; Securities Laws Violation; Competency; Commingling; Fiduciary Duty; Diligence
Standard(s) Violated: Article 402; 301; 606(b); Article 3(a); 607; 102; 606(a); 103(d); 302; 701; 403
Matter Type(s): CFP Board
Decision Date: 03/25/2011
Summary: Whether an applicant for reinstatement of his CFP® certification (“Respondent”) demonstrated rehabilitation by clear and convincing evidence that he complied with all disciplinary orders and provisions of the Disciplinary Rules and Procedures and is, once again, fit to use the CFP®, CERTIFIED FINANCIAL PLANNER™, and certification marks.

27811 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Unauthorized Use of the Marks
Matter Type(s): CFP Board
Decision Date: 07/20/2012
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he used the CFP® certification marks (“CFP® marks”) in his campaign for political office four years after he had relinquished his CFP® certification.

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