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30438 – Anonymous Case History
Decision: Suspension
Keyword(s): Client's Best Interest; Bankruptcy
Standard(s) Violated: Article 6.5; 4.1; 1.4
Matter Type(s): Bankruptcies; Civil Court
Decision Date: 02/01/2018
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: (1) failed to provide advice that was in the best interest of her client, who was her mother (“Decedent”), regarding her estate planning; (2) exerted undue influence over the client in order to transfer assets from the client to herself; and (3) filed for bankruptcy in 1995, 2011, and 2017.

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.


30586 – Anonymous Case History
Decision: Suspension
Keyword(s): Bankruptcy; Professional Discipline; Misrepresentation
Standard(s) Violated: Article Article 3(d); Article 3(a); 5.1; 6.5
Matter Type(s): Bankruptcies; FINRA Regulatory Action
Decision Date: 10/18/2017
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) knowingly submitted false expense reports to his firm, causing his firm to maintain inaccurate books and records; and 2) filed his second bankruptcy petition, a Chapter 11 Bankruptcy Petition, to avoid a possible Financial Industry Regulatory Authority, Inc’s (“FINRA”) award against him.  


29538 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Bankruptcy; Felony-Tax; Judgment Lien
Standard(s) Violated: Article 6.5; Article 3(a); Article 3(g)
Matter Type(s): Bankruptcies; Judgments/Liens
Decision Date: 03/25/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) filed Chapter 7 Bankruptcy in 1990 and again in 2014; and 2) informed CFP Board on multiple renewal applications for CFP® certification that he had not been a defendant or respondent in a civil action including, but not limited to, a lawsuit, arbitration or mediation relating to his professional activities when in 2009, Respondent was a defendant in a class action lawsuit concerning his professional activities.

29646 – Anonymous Case History
Decision: Granted Petition
Matter Type(s): Bankruptcies
Decision Date: 12/04/2015
Summary: Whether a candidate for CFP® certification could be certified when he filed for Chapter 7 Bankruptcy in 1994 and again in 2002.

29669 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy
Standard(s) Violated: Article 607; 6.5
Matter Type(s): Bankruptcies
Decision Date: 12/09/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy in 1995 and again in 2015.

29970 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Bankruptcies
Decision Date: 03/25/2016
Summary: Whether a candidate for CFP® certification could be certified when she filed for Chapter 7 Bankruptcy in 2003 and Chapter 13 Bankruptcy in 2004.

30029 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Bankruptcies
Decision Date: 10/17/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy in 1990, and Chapter 13 Bankruptcy in 1991 and 2015.

30314 – Anonymous Case History
Decision: Letter of Admonition
Matter Type(s): Bankruptcies
Decision Date: 12/09/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy in 1993 and again in 2016.

Page 1 of 1 , 9 Items in Total