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27098 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Failure to Cooperate with Staff; Tax-Lien
Standard(s) Violated: Article 6.5; 6.1
Matter Type(s): Civil Court
Decision Date: 10/01/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: 1) failed to file taxes for tax years 2002 through 2008, which caused her to incur a federal tax lien; and 2) failed to respond to CFP Board’s requests for information.

30537 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Court Order Violation; Misappropriation; Breach of Contract; Arbitration
Standard(s) Violated: Article Article 3(a); 6.5; 5.1; 3.1
Matter Type(s): Civil Suit; Civil Court; AAA Arbitration
Decision Date: 02/01/2018
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: (1) took client information from his old firm to a new firm without authorization from either the old firm or the clients; (2) breached his contract with the old firm by taking client information to a new firm and failing to timely notify the old firm of his resignation; and (3) failed to make payments on a breach of contract judgment issued by a court with appropriate jurisdiction.

11390 – Anonymous Case History
Decision: Suspension
Keyword(s): Arbitration; Failure to Notify CFP Board; Misappropriation; Breach of Contract; Bankruptcy; Misrepresentation; Forgery; Customer Complaints; Lawsuits Involving Financial Matters
Standard(s) Violated: Article 201; 607; Article 3(c); Article 3(a); 102; 606(b); Article 3(e)
Matter Type(s): Civil Court
Decision Date: 04/16/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: 1) filed for Chapter 7 Bankruptcy; 2) was convicted of Operating a Motor Vehicle While Ability Impaired by Alcohol; and 3) was the subject of a series of arbitrations and customer complaints from 2001 through 2007.

16502 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Fraud-Other; Unauthorized Transaction; Disclosure to Clients; Professionalism; Misrepresentation; Employer Policy Violation; Professional Discipline; Securities Laws Violation; Diligence
Standard(s) Violated: Article 406; 606(a); Article 3(a); 102; 704; 606(b); 607; 201; 701
Matter Type(s): Civil Court
Decision Date: 11/10/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he sold promissory notes without receiving prior approval from his firm, resulting in: 1) a National Association of Securities Dealers (“NASD”) bar; 2) two terminations; and 3) two civil suits being filed against him.

20420 – Anonymous Case History
Decision: Private Censure
Keyword(s): Suitability; Churning; Lawsuits Involving Financial Matters; Professional Discipline; Unauthorized Transaction; Diligence; Misrepresentation
Standard(s) Violated: Article Article 3(a); 701; 703; 201
Matter Type(s): Other Professional Discipline; Professionalism; FINRA Arbitration; Civil Court
Decision Date: 03/06/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he executed numerous trades in the account of a client without her approval.

21749 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Respond to CFP Board; Arbitration; Disclosure to CFP Board
Standard(s) Violated: Article Article 3(a); Article 3(f); 607
Matter Type(s): Civil Court; FINRA Arbitration
Decision Date: 03/20/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he did not report his involvement in a Financial Industry Regulatory Authority arbitration to CFP Board, and did not respond to CFP Board’s requests for information and Complaint.

22111 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Judgment Lien
Matter Type(s): Civil Court
Decision Date: 08/08/2008
Summary: Whether a candidate for CFP® certification could be certified when she had six judgment liens on her record.

22290 – Anonymous Case History
Decision: Private Censure
Keyword(s): Judgment Lien; Fitness; Settlement; Bankruptcy
Standard(s) Violated: Article 607; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 08/10/2009
Summary: Whether an applicant for reinstatement of his CFP® certification violated CFP Board’s Standards of Professional Conduct when he filed for bankruptcy in 2004 and accrued various judgment liens.

22313 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Judgment Lien
Matter Type(s): Civil Court
Decision Date: 03/27/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he previously had a judgment lien issued against him.

22317 – Anonymous Case History
Decision: Suspension
Keyword(s): Fitness; Settlement; Professional Discipline; Misdemeanor; Customer Complaints; Arbitration
Standard(s) Violated: Article Article 3(a); 606(a); 607
Matter Type(s): Other Professional Discipline; Client Dissatisfaction; FINRA Arbitration; Civil Court
Decision Date: 03/23/2010
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when: 1) multiple clients filed customer complaints and arbitrations against him; and 2) a state division of securities issued an order of intent to revoke his state securities license.

22376 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Fitness; Competency; Judgment Lien
Matter Type(s): Civil Court
Decision Date: 08/10/2009
Summary: Whether an applicant for reinstatement of his CFP® certification violated CFP Board’s Standards of Professional Conduct when the Internal Revenue Service filed tax liens against him in 2003 and 2007.

22588 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Settlement; Judgment Lien
Standard(s) Violated: Article 607; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 08/10/2009
Summary: Whether an applicant for reinstatement of his CFP® certification violated CFP Board’s Standards of Professional Conduct due to his involvement in a 2007 Internal Revenue Service tax lien in the amount of $143,503.33.

23036 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Fitness; Judgment Lien; Bankruptcy
Matter Type(s): Civil Court
Decision Date: 12/03/2009
Summary: Whether an applicant for reinstatement violated CFP Board’s Standards of Professional Conduct when he filed for bankruptcy in 2008.

23113 – Anonymous Case History
Decision: Private Censure
Keyword(s): Arbitration; Bankruptcy; Failure to Repay Loan to Firm; Professionalism
Standard(s) Violated: Article Article 3(a); 607
Matter Type(s): Civil Court; Other Arbitration
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy as a result of his inability to pay back a loan to his employer (“Firm”).

23124 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Judgment Lien
Matter Type(s): Civil Court
Decision Date: 11/30/2009
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he incurred two municipal tax liens, a civil judgment and a mortgage note.

23687 – Anonymous Case History
Decision: Suspension
Keyword(s): Bankruptcy; Failure to Cooperate with Staff
Standard(s) Violated: Article Article 3(a)
Matter Type(s): Civil Court
Decision Date: 04/25/2011
Summary: Whether a registrant (“Respondent”) violated CFP Board’s Standards of Professional Conduct (“Standards“) when he filed for Chapter 7 Bankruptcy protection in 2009.

23702 – Anonymous Case History
Decision: Private Censure
Keyword(s): Judgment Lien; Bankruptcy; Settlement; Fitness
Standard(s) Violated: Article Article 3(a); 607
Matter Type(s): Civil Court; Client Dissatisfaction
Decision Date: 03/29/2010
Summary: Whether an applicant for reinstatement of his CFP® certification violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy in 2005 and was the subject of a 2008 judgment lien.

23806 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Judgment Lien; Fitness; Bankruptcy; Failure to Respond to CFP Board
Standard(s) Violated: Article Article 3(a); 607
Matter Type(s): Civil Court
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he did not respond to a Complaint issued to him by CFP Board.

24381 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Fitness; Judgment Lien; Bankruptcy
Matter Type(s): Civil Court
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy protection in 2007.

25860 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy; Judgment Lien; Settlement
Standard(s) Violated: Article Article 3(a)
Matter Type(s): Civil Court
Decision Date: 04/05/2011
Summary: Whether a registrant (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for bankruptcy in 2010.

26175 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Judgment Lien
Matter Type(s): Civil Court
Decision Date: 07/27/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when she had two judgment liens filed against her.

26904 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Judgment Lien; Fitness; Bankruptcy
Standard(s) Violated: Article 6.5
Matter Type(s): Civil Court
Decision Date: 02/14/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when she: 1) ceased making mortage payments on a commerical property she owned, resulting in a Judgment of Foreclosuer against her for approximately $1,000,000; and 2) filed for Chapter 7 Bankruptcy.

27223 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Failure to Cooperate with Staff; Fitness; Bankruptcy
Standard(s) Violated: Article Article 3(f); 607; 6.1; Article 3(a)
Matter Type(s): Civil Court; Criminal Court
Decision Date: 03/09/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he: 1) filed for Chapter 7 Bankruptcy in December 2007; and 2) failed to provide documents requested by CFP Board Staff.

27332 – Anonymous Case History
Decision: Suspension
Keyword(s): Failure to Cooperate with Staff; Felony-Non-Violent Crime
Standard(s) Violated: Article 6.1; 6.5
Matter Type(s): Criminal Court; Civil Court
Decision Date: 04/11/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when the State charged him with felony possession of child pornography, which he later pleaded down to felony unauthorized access to a computer.

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