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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.  
 

14424 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Fitness; Misdemeanor
Standard(s) Violated: Article Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 03/26/2010
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he pleaded guilty to misdemeanor assault.

14547 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professionalism; Felony-Tax; Fraud Related to Professional Activity
Standard(s) Violated: Article 102; 607; 606(b); 606(a); Article 3(a); Article 3(c); 201; 406
Matter Type(s): Criminal Court
Decision Date: 03/27/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) set up a fraudulent tax scheme that he sold to clients; 2) assisted clients in filing false tax returns; 3) was convicted of tax fraud conspiracy felonies; and 4) was convicted of tax fraud felonies for his individual tax returns.

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.

21850 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; Professionalism
Standard(s) Violated: Article 607; Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 08/08/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he was charged with indecent exposure, a state crime.

21922 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; Felony-Theft; Embezzlement or Other Financial
Standard(s) Violated: Article Article 3(c); 607
Matter Type(s): Criminal Court
Decision Date: 08/08/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he was involved in a petty larceny offense during college.

22005 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Misdemeanor; Disclosure to CFP Board
Standard(s) Violated: Article 612; Article 3(g); Article 3(a); 607; Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 07/11/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he did not disclose his involvement in a misdemeanor theft on the Declaration Section of his Initial Certification Application.

22048 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor
Standard(s) Violated: Article Article 3(c); 607
Matter Type(s): Criminal Court
Decision Date: 07/11/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when she had been involved in a misdemeanor theft during college.

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.

22079 – Anonymous Case History
Decision: Private Censure
Keyword(s): Felony-Non-Violent Crime; Settlement
Standard(s) Violated: Article Article 3(c); 607; Article 3(a)
Matter Type(s): Criminal Court
Decision Date: 07/11/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when, in 1976, he pleaded guilty to possession of, with intent to deliver, marijuana, which is a felony.

22131 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor
Standard(s) Violated: Article Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 11/07/2008
Summary: Whether a candidate for CFP® certification ("Respondent") violated CFP Board’s Standards of Professional Conduct when his altercation with another individual resulted in two misdemeanor convictions against Respondent.

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.

22380 – Anonymous Case History
Decision: Denied Petition
Keyword(s): Bankruptcy; Fitness
Matter Type(s): Criminal Court; Civil Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification could be certified when she had filed for bankruptcy within five years prior to submitting her Initial Certification Application.

22388 – Anonymous Case History
Decision: Private Censure
Keyword(s): Professionalism; Misdemeanor
Standard(s) Violated: Article Article 3(c); 607
Matter Type(s): Criminal Court
Decision Date: 11/07/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he disclosed his involvement in a misdemeanor theft on his Initial Certification Application.

22504 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor; Disclosure to CFP Board; Customer Complaints
Matter Type(s): Client Dissatisfaction; Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he failed to disclose to CFP Board that he was a defendant in a criminal proceeding and that he was the subject of a Financial Industry Regulatory Authority investigation.

22510 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Forgery; Disclosure to CFP Board
Matter Type(s): Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he failed to disclose that he was arrested for possession of a forged instrument.

22544 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; Disclosure to CFP Board; Misuse of the Marks
Standard(s) Violated: Article Article 3(g); 601; Article 3(a); 606(b)
Matter Type(s): Criminal Court; CFP Board
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: 1) failed to report to CFP Board that she was a defendant in a criminal proceeding; and 2) misused the CFP® certification marks.

22586 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor; Professionalism
Standard(s) Violated: Article Article 3(a); 607; Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 02/26/2009
Summary: Whether a candidate for CFP® certification who was convicted of misdemeanor theft during college is eligible to be certified.

22598 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Failure to Notify CFP Board; Settlement; Misdemeanor; DUI/DWI
Standard(s) Violated: Article Article 3(a); Article 3(c); Article 3(e); 607
Matter Type(s): Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he pleaded guilty to a Driving Under the Influence charge in 2008, and did not notify CFP Board within 10 days of his criminal conviction.

22613 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor
Matter Type(s): Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® Certification violated CFP Board’s Standards of Professional Conduct when he was arrested for the criminal misdemeanor offense of operating a vehicle while intoxicated.

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.

22655 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; Settlement; Disclosure to CFP Board
Standard(s) Violated: Article Article 3(c); 607; Article 3(g); Article 3(a)
Matter Type(s): Criminal Court
Decision Date: 02/26/2009
Summary: Whether an applicant for CFP® certification violated CFP Board’s Standards of Professional Conduct when he failed to disclose his involvement in a misdemeanor theft on his Initial Certification Application.

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