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31122 – Anonymous Case History
Decision: Petition-for-Consideration---Denied; Delay---Petition
Keyword(s): Continuing Education Violation
Matter Type(s): Case Developed By Staff
Decision Date: 10/01/2018
Summary:

Whether a petitioner whose CFP® certification was administratively relinquished (“Respondent”), could be certified when he inaccurately reported continuing education credits to CFP Board.


31119 – Anonymous Case History
Decision: Suspension
Keyword(s): Fraud Related to Professional Activity; Continuing Education Violation; Misrepresentation
Standard(s) Violated: Article 2.1; 6.2; Article 3(g); 6.5
Matter Type(s): Case Developed By Staff
Decision Date: 10/01/2018
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he falsely self-reported to CFP Board that he had completed more than 30 Continuing Education (“CE”) courses providing approximately 80 hours of credits during three CE reporting. 


30262 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Settlement; Fee-Only
Standard(s) Violated: Article Article 3(a); 2.1
Matter Type(s): Case Developed By Staff
Decision Date: 02/01/2018
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he represented on CFP Board’s “Find a CFP® Professional” site that he was “Fee-Only” when, in actuality, he sold insurance for commission and was otherwise registered to accept commission payments from insurance agencies and his broker dealer.   

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