Page 1 of 1 , 6 Items in Total
14424 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Fitness; Misdemeanor
Standard(s) Violated: Article Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 03/26/2010
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he pleaded guilty to misdemeanor assault.

22504 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor; Disclosure to CFP Board; Customer Complaints
Matter Type(s): Client Dissatisfaction; Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he failed to disclose to CFP Board that he was a defendant in a criminal proceeding and that he was the subject of a Financial Industry Regulatory Authority investigation.

22586 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor; Professionalism
Standard(s) Violated: Article Article 3(a); 607; Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 02/26/2009
Summary: Whether a candidate for CFP® certification who was convicted of misdemeanor theft during college is eligible to be certified.

22613 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor
Matter Type(s): Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® Certification violated CFP Board’s Standards of Professional Conduct when he was arrested for the criminal misdemeanor offense of operating a vehicle while intoxicated.

22731 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor; Fitness
Matter Type(s): Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he was convicted of a misdemeanor in 1985.

23185 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor
Matter Type(s): Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he pleaded guilty to a misdemeanor theft charge in 1971.

Page 1 of 1 , 6 Items in Total