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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.

29667 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Securities Laws Violation; Failure to Cooperate with Staff
Matter Type(s): Regulatory Action
Decision Date: 08/05/2016
Summary: Whether a candidate for CFP® certification could be certified when she: 1) operated a place of business in State without disclosing the address to the State Securities Division and by not filing a uniform branch office registration form reflecting the additional business location; 2) failed to maintain accurate and complete financial statements and audit working papers related to her investment advisory business; 3) failed to cooperate with CFP Board’s investigation of her conduct; and 4) used the CFP® marks when she was not authorized to do so.

30079 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor
Standard(s) Violated: Article 6.5
Matter Type(s): Criminal
Decision Date: 11/07/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) was charged with, and pleaded no contest to, Indecent Exposure; and 2) falsely attested to CFP Board that he was not currently charged with or convicted of a misdemeanor (other than minor traffic violations) within the last five years.

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.

Page 1 of 1 , 4 Items in Total