Page 1 of 1 , 15 Items in Total
30274 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Commission/Compensation
Standard(s) Violated: Article 2.1
Matter Type(s): Other
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he twice represented his compensation method as “fee-only” on CFP Board’s “Find a CFP® Professional” search tool even though he: (a) was a licensed broker who is entitled to receive commissions; (b) was an insurance producer licensed to sell insurance products for commissions until September 2015; (c) earned commissions during the relevant period from September 2013 through July 2015; and (d) referred clients to related parties who earn commissions on product sales.

29696 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fee-Only; Disclosure to Clients
Standard(s) Violated: Article 2.1
Matter Type(s): Other
Decision Date: 10/30/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he represented his compensation method as “fee-only” while having active appoints as an insurance agent and related parties were earning commission compensation.

29803 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fee-Only
Matter Type(s): Other
Decision Date: 11/02/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he twice represented his compensation method as “fee-only” on CFP Board’s “Find a CFP® Professional” search tool even though he was licensed and appointed to sell insurance products for commission and was still receiving commissions from insurance products.

29916 – Anonymous Case History
Decision: Granted Petition
Matter Type(s): Other
Decision Date: 03/25/2016
Summary: Whether a petitioner, who had his right to use the CFP® certification suspended for a period of one year and one day (“Respondent”), has proven by clear and convincing that he has been rehabilitated, has complied with all applicable disciplinary orders and provisions of CFP Board’s Disciplinary Rules, and that he is fit to use the CFP® marks.

29954 – Anonymous Case History
Decision: Granted Petition
Matter Type(s): Other
Decision Date: 12/04/2015
Summary: Whether a petitioner, who had her right to use the CFP® certification suspended for a period of one year and one day (“Respondent”) has proven by clear and convincing that she has been rehabilitated, has complied with all applicable disciplinary orders and provisions of CFP Board’s Disciplinary Rules, and that she is fit to use the CFP® marks.

30059 – Anonymous Case History
Decision: Granted Petition
Matter Type(s): Other
Decision Date: 03/25/2016
Summary: Whether a petitioner, who had his right to use the CFP® certification suspended for a period of one year and one day (“Respondent”), proved by clear and convincing that he had been rehabilitated, complied with all applicable disciplinary orders and provisions of CFP Board’s Disciplinary Rules, and that he was fit to use the CFP® marks.

30083 – Anonymous Case History
Decision: Granted Petition
Matter Type(s): Other
Decision Date: 03/25/2016
Summary: Whether a petitioner, who had his right to use the CFP® certification suspended for a period of 18 months (“Respondent”), proved by clear and convincing that he had been rehabilitated, complied with all applicable disciplinary orders and provisions of CFP Board’s Disciplinary Rules, and that he was fit to use the CFP® marks.

30241 – Anonymous Case History
Decision: Denied Petition
Matter Type(s): Other
Decision Date: 08/05/2016
Summary: Whether a petitioner, who had his right to use the CFP® certification suspended for a period of two years (“Respondent”), has proven by clear and convincing that he has been rehabilitated, has complied with all applicable disciplinary orders and provisions of CFP Board’s Disciplinary Rules, and that he is fit to use the CFP® marks.

30258 – Anonymous Case History
Decision: Private Censure
Keyword(s): Commission/Compensation
Standard(s) Violated: Article 2.1
Matter Type(s): Other
Decision Date: 02/28/2017
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he twice represented his compensation method as “fee-only” on CFP Board’s “Find a CFP® Professional” search tool while he had two related partiers that were entitled to receive commissions.

30259 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fee-Only
Matter Type(s): Other
Decision Date: 12/09/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she misrepresented her compensation method as “fee-only.”

30276 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fee-Only
Matter Type(s): Other
Decision Date: 11/02/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he twice represented his compensation method as “fee-only” on CFP Board’s “Find a CFP® Professional” search tool when his compensation method was “commission and fee” under CFP Board’s Standards.

30279 – Anonymous Case History
Decision: Private Censure
Keyword(s): Commission/Compensation
Standard(s) Violated: Article Article 3(a); 2.1
Matter Type(s): Other
Decision Date: 03/02/2017
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she misrepresented her compensation method as “fee-only” on CFP Board’s “Find a CFP® professional” search tool due to the following: a) Respondent is licensed and appointed to sell insurance which entitles her to receive commissions; and b) Respondent’s related party, her employer ABC, receives or is entitled to receive commissions through divisions that sell mortgages, securities, and insurance.

30280 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fee-Only
Matter Type(s): Other
Decision Date: 11/02/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he twice represented his compensation method as “fee-only” on CFP Board’s “Find a CFP® professional” search tool even though he was registered as a broker with a Financial Industry Regulatory Authority, Inc. member firm and entitled to receive commissions.

30237 – Anonymous Case History
Decision: Private Censure
Keyword(s): Professional Discipline; Misrepresentation
Matter Type(s): Other
Decision Date: 12/09/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: a) published advertisements regarding an annuity (“Annuity”) without prior approval of his firm; b) published misleading advertisements regarding the Annuity; and c) published advertisements regarding the Annuity that violated State law.

29852 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fee-Only
Standard(s) Violated: Article 5.1; 6.2
Matter Type(s): Other
Decision Date: 11/02/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he twice represented his compensation method as “fee-only” on CFP Board’s “Find a CFP® Professional” search tool even though his RIA is a related party to a firm that sells insurance products to clients for commissions.

Page 1 of 1 , 15 Items in Total