Page 1 of 1 , 8 Items in Total
29425 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; DUI/DWI; Felony-Non-Violent Crime
Standard(s) Violated: Article 607; 6.5
Matter Type(s): Criminal Court
Decision Date: 03/25/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of misdemeanor Reckless Driving in 2005 and misdemeanor driving under the influence (“DUI”) in 2014.

29906 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): DUI/DWI
Matter Type(s): Criminal
Decision Date: 11/30/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of an alcohol-related offense in 2003 and twice in 2015.

29915 – Anonymous Case History
Decision: Private Censure
Keyword(s): DUI/DWI
Standard(s) Violated: Article Article 3(c); 6.5; Article 3(a)
Matter Type(s): Criminal
Decision Date: 10/17/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of his second DUI misdemeanor.

30000 – Anonymous Case History
Decision: Denied Petition
Keyword(s): DUI/DWI; Fitness
Matter Type(s): Criminal; Regulatory Action
Decision Date: 03/25/2016
Summary: Whether a candidate for CFP® certification could be certified when he was the subject of a 2014 criminal misdemeanor conviction for Disorderly Conduct, a 2015 State 1 Insurance Department (“State 1”) Order of Denial, a 2014 State 2 Department of Insurance (“State 2”) Issuance of Restricted License, a 2008 criminal misdemeanor conviction for Minor Consuming Alcohol, a 2009 criminal misdemeanor conviction for Underage Consumption, a 2011 criminal misdemeanor conviction for Underage Consumption and a 2014 criminal misdemeanor conviction for Careless Driving.

30086 – Anonymous Case History
Decision: Private Censure
Keyword(s): DUI/DWI
Standard(s) Violated: Article 6.5; Article 3(c); Article 3(a)
Matter Type(s): Criminal
Decision Date: 10/17/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of misdemeanor Driving While Intoxicated (“DWI”) on two occasions in 2012 and 2015.

30094 – Anonymous Case History
Decision: Suspension
Keyword(s): DUI/DWI
Standard(s) Violated: Article 6.5; Article 3(c); Article 3(a)
Matter Type(s): Criminal
Decision Date: 10/17/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he received his fourth criminal misdemeanor DWI conviction.

30164 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Misdemeanor; Customer Complaints; DUI/DWI
Standard(s) Violated: Article 1.4; 3.6; 4.3; 5.1
Matter Type(s): Criminal
Decision Date: 11/02/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of two counts of battery.

30237 – Anonymous Case History
Decision: Private Censure
Keyword(s): Professional Discipline; Misrepresentation
Matter Type(s): Other
Decision Date: 12/09/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: a) published advertisements regarding an annuity (“Annuity”) without prior approval of his firm; b) published misleading advertisements regarding the Annuity; and c) published advertisements regarding the Annuity that violated State law.

Page 1 of 1 , 8 Items in Total