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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.  
 

21350 – Anonymous Case History
Decision: Suspension
Keyword(s): Employer Policy Violation; Fraud Related to Professional Activity; Felony-Non-Violent Crime; Misrepresentation; Fitness
Standard(s) Violated: Article 102; 607
Matter Type(s): Criminal Court
Decision Date: 08/03/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct by pleading no contest to a third-degree felony for transmitting materials harmful to a minor, when adjudication was withheld.

21530 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professionalism; Professional Discipline; Misrepresentation; Fraud Related to Professional Activity; Settlement
Standard(s) Violated: Article Article 3(a); 102; 607; 201; 606(b); 606(a)
Matter Type(s): Criminal Court
Decision Date: 11/07/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he advised and assisted his clients in falsely reporting their federal income tax liabilities.

21589 – Anonymous Case History
Decision: Suspension
Keyword(s): Forgery; Settlement; Professional Discipline
Standard(s) Violated: Article 201; 606(a); 102; 606(b)
Matter Type(s): Criminal Court; Professionalism
Decision Date: 05/05/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he attempted to submit a document he had forged to his broker-dealer.

22054 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professionalism; Employer Policy Violation; Misdemeanor; Forgery; Settlement; Diligence
Standard(s) Violated: Article Article 3(a); 102; 606(a); 701; 606(b); 607
Matter Type(s): Other Professional Discipline; Criminal Court
Decision Date: 11/25/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) was convicted of driving under the influence and; 2) was asked to resign from a financial services firm (“Firm”) after he photocopied a client’s (“Client”) signature onto a Firm document.

22374 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Felony-Non-Violent Crime
Standard(s) Violated: Article Article 3(a); 606(a)
Matter Type(s): Civil Court; Professionalism; Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he did not disclose a felony conviction as required by his state department of insurance.

22631 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Professional Discipline; Misdemeanor; Settlement
Standard(s) Violated: Article 607; 606(a); Article 3(a)
Matter Type(s): Criminal Court
Decision Date: 08/18/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he: 1) pleaded guilty to shoplifting in 1988; and 2) entered into a Consent Order with a state banking and insurance agency in 1998.

22747 – Anonymous Case History
Decision: Private Censure
Keyword(s): Felony-Non-Violent Crime; Professional Discipline; Fitness
Standard(s) Violated: Article 607; Article 3(c); 606(a); Article 3(a)
Matter Type(s): Civil Court; Criminal Court
Decision Date: 12/15/2009
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of a felony and did not disclose the felony conviction as required by his state department of insurance.

26149 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Felony-Violent Crime
Matter Type(s): Civil Court; Criminal Court
Decision Date: 07/22/2011
Summary: Whether a candidate for ® certification (“Respondent”) could be certified when he pleaded guilty in 1995 to transmitting in interstate commerce a threat to injure another person, a felony.

26835 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Employer Policy Violation; Fitness; Diligence
Matter Type(s): Other Professional Discipline; Criminal Court
Decision Date: 11/30/2011
Summary: Whether a candidate for CFP® certification ("Respondent") could be certified when he was terminated by his firm in 2007 and investigated by the Financial Industry Regulatory Authority, Inc. ("FINRA").

28730 – Anonymous Case History
Decision: Suspension
Keyword(s): Failure to Cooperate with Staff; Felony-Violent Crime; Failure to Respond to CFP Board
Standard(s) Violated: Article 6.1; 6.5
Matter Type(s): Criminal Court
Decision Date: 04/11/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he pleaded guilty to two felony counts of aggravated battery.

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. 

Page 1 of 1 , 12 Items in Total