23715 – Anonymous Case History

Decision: Suspension

Keyword(s): Bankruptcy; Arbitration; Fitness; Employer Policy Violation

Standard(s) Violated: Article Article 3(a); 607; 6.5

Matter Type(s): Other Arbitration

Decision Date: 04/19/2011

Summary: Whether a CFP^® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) arranged a meeting with a real estate development company to facilitate his client’s investment in a company that had not been properly evaluated by Respondent or his employer; and 2) filed for Chapter 7 Bankruptcy.

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30866 – Anonymous Case History

Decision: Private Censure

Keyword(s): Failure to Repay Loan to Firm; Bankruptcy; Employer Policy Violation

Standard(s) Violated: Article 6.5

Matter Type(s): Employer Action; Arbitration; Bankruptcies

Decision Date: 10/01/2018

Summary:

Whether a CFP^® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was terminated by his employer for inappropriate behavior that was harmful or embarrassing to the firm or its clients.

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