Page 1 of 1 , 18 Items in Total
30411 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): DUI/DWI; Third-DUI-Offense; Misdemeanor
Standard(s) Violated: Article Article 3(c); Article 3(a); 6.5
Matter Type(s): Criminal Court; Criminal
Decision Date: 02/01/2018
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of DUI, Second Offense, his third DUI conviction since 1989.  
 

30247 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): DUI/DWI
Matter Type(s): Criminal
Decision Date: 01/27/2017
Summary: Whether a candidate for CFP® certification could be certified when he was the subject of an arrest and conviction for Driving under the Influence along with six other misdemeanor convictions between 2007 and 2013.

30390 – Anonymous Case History
Decision: Reinstatement
Keyword(s): Felony-Violent Crime
Matter Type(s): Criminal
Decision Date: 04/07/2017
Summary: Whether a candidate for CFP® certification could be certified when he was the subject of 2006 Felony Conviction for Criminal Attempt to Endanger the Welfare of a Child.

30536 – Anonymous Case History
Decision: Reinstatement
Keyword(s): Misdemeanor; Fitness
Matter Type(s): Criminal
Decision Date: 04/10/2017
Summary: Whether a candidate for CFP® certification (“Respondent”), could be certified when she was convicted of 2nd degree misdemeanor assault.

30942 – Anonymous Case History
Decision: Delay---Petition
Keyword(s): Felony-Violent Crime; Failure-to-Report; Unauthorized Transaction
Matter Type(s): Criminal
Decision Date: 06/01/2018
Summary:

Whether a CFP® applicant (“Respondent”) failed to meet CFP Board’s Fitness Standards when he: (1) opened 14 accounts without the knowledge and authorization of the account owners, including one that was opened for a deceased person; (2) was charged with a third degree felony for allegedly strangling his wife; and (3) failed to disclose the criminal charge to a state regulatory board.


30782 – Anonymous Case History
Decision: Private Censure
Keyword(s): Employer Policy Violation; Unauthorized Transaction; Felony-Non-Violent Crime
Standard(s) Violated: Article Article 3(a); Article 3(d); 4.3
Matter Type(s): Employer Action; Criminal; Criminal Court
Decision Date: 02/01/2018
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: (1) performed 40 unauthorized trades in a deceased person’s account; (2) failed to notify his firm of the death of two advisory clients, in violation of firm policy; and (3) accidentally brought a loaded firearm into an international airport and, thereafter, pled guilty to felony charges. 

30414 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor
Standard(s) Violated: Article Article 3(c); Article-13.1; 6.5; Article 3(a)
Matter Type(s): Criminal; CFP Board
Decision Date: 10/02/2017
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of sexual assault for groping a houseguest. 


30580 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): DUI/DWI
Standard(s) Violated: Article Article 3(c); Article 3(a); 6.5
Matter Type(s): Criminal Court; Criminal
Decision Date: 10/18/2017
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of two counts of misdemeanor Operating Under the Influence and one count of misdemeanor Interfering with an Officer.  


29571 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): DUI/DWI
Standard(s) Violated: Article 6.5
Matter Type(s): Criminal
Decision Date: 12/04/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she was convicted of misdemeanor driving while intoxicated offenses in 2013 and 2015.

29853 – Anonymous Case History
Decision: Private Censure
Keyword(s): Felony-Violent Crime
Standard(s) Violated: Article 6.5
Matter Type(s): Criminal
Decision Date: 10/30/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was arrested and charged with Falsifying Physical Evidence, Burglary, 1st Degree Assault with a Deadly Weapon and Criminal Threatening.

29906 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): DUI/DWI
Matter Type(s): Criminal
Decision Date: 11/30/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of an alcohol-related offense in 2003 and twice in 2015.

29915 – Anonymous Case History
Decision: Private Censure
Keyword(s): DUI/DWI
Standard(s) Violated: Article Article 3(c); 6.5; Article 3(a)
Matter Type(s): Criminal
Decision Date: 10/17/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of his second DUI misdemeanor.

29948 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Employer Policy Violation; Professional Discipline; Securities Laws Violation; Failure to Notify CFP Board
Standard(s) Violated: Article 6.5; 6.2; Article 3(e)
Matter Type(s): Criminal; Regulatory Action
Decision Date: 07/22/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when (a) he copied drivers licenses of “extraordinary persons” in violation of State law, (b) State criminally convicted him of a misdemeanor, which resulted in a felony charge from State, (c) he failed to promptly disclose to Firm 1 that he had been charged with a felony, (d) he failed to amend his Form U4, in violation of Financial Industry Regulatory Industry, Inc. (“FINRA” formerly known as the National Association of Securities Dealers or “NASD”) Rule 2010 and NASD Rule 3070(b), (e) the State Securities Division concluded that Respondent was not of “good business repute” and denied Respondent’s State securities salesperson license and investment adviser representative license applications, (f) Firm 1 terminated Respondent’s employment because of his criminal indictment, and (g) Firm 2 terminated Respondent’s employment due to the State Securities Division’s Order of Denial.

30000 – Anonymous Case History
Decision: Denied Petition
Keyword(s): DUI/DWI; Fitness
Matter Type(s): Criminal; Regulatory Action
Decision Date: 03/25/2016
Summary: Whether a candidate for CFP® certification could be certified when he was the subject of a 2014 criminal misdemeanor conviction for Disorderly Conduct, a 2015 State 1 Insurance Department (“State 1”) Order of Denial, a 2014 State 2 Department of Insurance (“State 2”) Issuance of Restricted License, a 2008 criminal misdemeanor conviction for Minor Consuming Alcohol, a 2009 criminal misdemeanor conviction for Underage Consumption, a 2011 criminal misdemeanor conviction for Underage Consumption and a 2014 criminal misdemeanor conviction for Careless Driving.

30079 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor
Standard(s) Violated: Article 6.5
Matter Type(s): Criminal
Decision Date: 11/07/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) was charged with, and pleaded no contest to, Indecent Exposure; and 2) falsely attested to CFP Board that he was not currently charged with or convicted of a misdemeanor (other than minor traffic violations) within the last five years.

30086 – Anonymous Case History
Decision: Private Censure
Keyword(s): DUI/DWI
Standard(s) Violated: Article 6.5; Article 3(c); Article 3(a)
Matter Type(s): Criminal
Decision Date: 10/17/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of misdemeanor Driving While Intoxicated (“DWI”) on two occasions in 2012 and 2015.

30094 – Anonymous Case History
Decision: Suspension
Keyword(s): DUI/DWI
Standard(s) Violated: Article 6.5; Article 3(c); Article 3(a)
Matter Type(s): Criminal
Decision Date: 10/17/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he received his fourth criminal misdemeanor DWI conviction.

30164 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Misdemeanor; Customer Complaints; DUI/DWI
Standard(s) Violated: Article 1.4; 3.6; 4.3; 5.1
Matter Type(s): Criminal
Decision Date: 11/02/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of two counts of battery.

Page 1 of 1 , 18 Items in Total