Page 1 of 1 , 11 Items in Total
19872 – Anonymous Case History
Decision: Suspension
Keyword(s): Fitness; Misrepresentation; Advertising; Disclosure to Clients; Professional Discipline; Fraud Related to Professional Activity; Diligence
Standard(s) Violated: Article Article 3(a); 101(b); 201; 402; 607; 606(b); 102; 606(a); 705; 401(a)
Matter Type(s): Professionalism
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he knowingly offering securities despite inaccurate financial projections set forth in a private placement memorandum.

19875 – Anonymous Case History
Decision: Private Censure
Keyword(s): Diligence; Fitness; Professionalism; Fraud Related to Professional Activity; Misrepresentation; Professional Discipline; Advertising; Disclosure to Clients
Standard(s) Violated: Article 102; 401(a); 402; 201; 606(a); Article 3(a); 606(b); 607; 101(b)
Matter Type(s): Professionalism
Decision Date: 07/22/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she knowingly offered securities despite inaccurate financial projections set forth in a private placement memorandum.

22798 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misrepresentation; Professional Discipline; Forgery; Settlement; Record-Keeping; Disclosure to CFP Board
Standard(s) Violated: Article 102; 201; 406; 607; Article 3(g); 606(b); Article 3(a)
Matter Type(s): FINRA Arbitration
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he placed an incorrect date, at his client’s request, next to his branch office manager’s signature on several documents.

23337 – Anonymous Case History
Decision: Suspension
Keyword(s): Other Ethics; Fitness; Misrepresentation
Standard(s) Violated: Article 607; 102; 101(b); Article 3(a)
Matter Type(s): Client Dissatisfaction
Decision Date: 01/06/2010
Summary: Whether a CFP® certificant (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he used copyrighted materials without permission or attribution.

31079 – Anonymous Case History
Decision: Suspension
Keyword(s): Professional Discipline; Misrepresentation; Failure-to-Report
Standard(s) Violated: Article 2.1; 4.3; Article 3(d); Article-13.2; Article 3(g)
Matter Type(s): State Regulatory Action; Failure to Disclose to CFP Board
Decision Date: 02/01/2019
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when (a) she allowed the distribution of invitations that falsely identified her as an investment advisor representative, and (b) failed to report to the CFP Board numerous professional disciplinary actions.  


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.


31329 – Anonymous Case History
Decision: Suspension
Keyword(s): Fraud-Other; 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 (1) repeatedly and knowingly tried to deceive the CFP Board when submitting continuing education (“CE”) credits that he did not complete and (2) falsified the CE Certificates and attempted to submit them to CFP Board as proof of completion.

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. 


30836 – Anonymous Case History
Decision: Suspension
Keyword(s): Continuing Education Violation
Standard(s) Violated: Article Article 3(g); 6.2
Matter Type(s): CFP Board
Decision Date: 06/21/2018
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she, over a five-year period, self-reported that she completed 54 Continuing Education (“CE”) courses (68.5 CE credit hours) when, in fact, she had not because she either never took the courses or failed to complete the assessment/examination questions required to receive CE credit. 

 


Page 1 of 1 , 11 Items in Total