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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.

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.  


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.

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