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22166 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Professional Discipline; Employer Policy Violation; Diligence; Forgery; Fraud Related to Professional Activity; Professionalism
Standard(s) Violated: Article 701; 201; 607; 606(b); 406; 102; Article 3(a)
Matter Type(s): Client Dissatisfaction
Decision Date: 11/06/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he: 1) signed clients’ names on documents that the clients did not authorize Respondent to sign; and 2) violated the corporate policy of his broker-dealer in doing so.

30247 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): DUI/DWI
Matter Type(s): Criminal
Decision Date: 01/27/2017
Summary: Whether a candidate for CFP® certification could be certified when he was the subject of an arrest and conviction for Driving under the Influence along with six other misdemeanor convictions between 2007 and 2013.

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