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30390 – Anonymous Case History
Decision: Reinstatement
Keyword(s): Felony-Violent Crime
Matter Type(s): Criminal
Decision Date: 04/07/2017
Summary: Whether a candidate for CFP® certification could be certified when he was the subject of 2006 Felony Conviction for Criminal Attempt to Endanger the Welfare of a Child.

30942 – Anonymous Case History
Decision: Delay---Petition
Keyword(s): Felony-Violent Crime; Failure-to-Report; Unauthorized Transaction
Matter Type(s): Criminal
Decision Date: 06/01/2018
Summary:

Whether a CFP® applicant (“Respondent”) failed to meet CFP Board’s Fitness Standards when he: (1) opened 14 accounts without the knowledge and authorization of the account owners, including one that was opened for a deceased person; (2) was charged with a third degree felony for allegedly strangling his wife; and (3) failed to disclose the criminal charge to a state regulatory board.


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