Page 1 of 1
25401 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Bankruptcy; Judgment Lien; Professional Discipline
Matter Type(s): FINRA Discipline
Decision Date: 06/21/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he filed for Chapter 7 Bankruptcy within five years prior to submitting an Initial Application for CFP® certification and was suspended by the Financial Industry Regulatory Authority, Inc. (“FINRA,” formerly known as the National Association of Securities Dealers or “NASD”).

Page 1 of 1