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31137 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Failure-to-Disclose; DUI/DWI
Standard(s) Violated: Article Fitness-Standards
Matter Type(s): State Regulatory Action; FINRA Regulatory Action; Criminal
Decision Date: 02/01/2019
Summary:

Whether a CFP® candidate should be certified when she (a) was convicted twice of Driving While Intoxicated, the first being a Misdemeanor and the second being a Gross Misdemeanor, and (b) failed to disclose a “State A” Order of Denial on her insurance application.


30692 – Anonymous Case History
Decision: Revocation
Keyword(s): Failure-to-Disclose; Due-Diligence; Failure-to-Disclose-to-Firm; Outside Business Activity
Standard(s) Violated: Article Article-3(e)-3(d); 5.1; 4.4; 4.3; 4.2
Matter Type(s): Failure to Disclose to CFP Board; FINRA Regulatory Action; FINRA Discipline
Decision Date: 06/01/2018
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: (1) engaged in an undisclosed outside business activity; (2) failed to perform due diligence in connection with the outside business activity, leading to a bar by the Financial Industry Regulatory Authority (“FINRA”); and (3) failed to disclose his FINRA bar to CFP Board.


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