Page 1 of 1 , 18 Items in Total
19075 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Fiduciary Duty; Professionalism; Commission/Compensation; Disclosure to Clients; Commingling; Suitability; Diligence; Client's Best Interest; Fitness
Standard(s) Violated: Article 402; 610; 607; 703; 103(e); 702(a); Article 3(a); 201; 405; 701; 103(d); 202
Matter Type(s): Client Dissatisfaction; Professionalism; Civil Court
Decision Date: 08/13/2009
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct (“Standards”) when he performed financial planning services for a client’s (“Client”) father (“Client’s Father”) without providing to the Client’s Father a written financial planning agreement and written disclosures and when he received the Client’s Father’s funds through a bank account controlled by Respondent.

19872 – Anonymous Case History
Decision: Suspension
Keyword(s): Fitness; Misrepresentation; Advertising; Disclosure to Clients; Professional Discipline; Fraud Related to Professional Activity; Diligence
Standard(s) Violated: Article Article 3(a); 101(b); 201; 402; 607; 606(b); 102; 606(a); 705; 401(a)
Matter Type(s): Professionalism
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he knowingly offering securities despite inaccurate financial projections set forth in a private placement memorandum.

19875 – Anonymous Case History
Decision: Private Censure
Keyword(s): Diligence; Fitness; Professionalism; Fraud Related to Professional Activity; Misrepresentation; Professional Discipline; Advertising; Disclosure to Clients
Standard(s) Violated: Article 102; 401(a); 402; 201; 606(a); Article 3(a); 606(b); 607; 101(b)
Matter Type(s): Professionalism
Decision Date: 07/22/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she knowingly offered securities despite inaccurate financial projections set forth in a private placement memorandum.

20942 – Anonymous Case History
Decision: Private Censure
Keyword(s): Record-Keeping; Client Neglect; Diligence; Customer Complaints
Standard(s) Violated: Article 201; Article 3(a); 701
Matter Type(s): Professionalism; Client Dissatisfaction
Decision Date: 11/06/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he did not notify a client (“Client”) that he would not be preparing her tax returns, and did not follow up with the Client regarding her tax returns.

21048 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professional Discipline; Felony-Theft; Embezzlement or Other Financial; Securities Laws Violation; Competency; Fitness; Misrepresentation; Fraud Related to Professional Activity; Interim Suspension
Standard(s) Violated: Article 201; 607; Article 3(c); 606(b); 606(a); 102; 406; 302; Article 3(a)
Matter Type(s): Professionalism
Decision Date: 08/10/2009
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he: 1) sold securities to clients while not licensed to do so; 2) promised investors large returns and guaranteed their principal on fraudulent investments; and 3) pleaded guilty to a felony investment fraud charge.

21365 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Securities Laws Violation; Supervision; Record-Keeping; Advertising; Misrepresentation; Continuing Education Violation; Diligence; Disclosure to Clients; Professional Discipline
Standard(s) Violated: Article 401(b); 101(a); 705; 701; 401(a); 606(a); Article 3(a)
Matter Type(s): Professionalism
Decision Date: 08/11/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when a Financial Industry Regulatory Authority investigation showed that he and his company violated securities laws related to the sale of securities on military bases.

21702 – Anonymous Case History
Decision: Suspension
Keyword(s): Judgment Lien; Fraud-Other; Misrepresentation; Court Order Violation; Disclosure to CFP Board; Other Ethics; Professionalism
Standard(s) Violated: Article Article 3(a); 607; Article 3(f); 102; 606(b); 201; 602; 606(a)
Matter Type(s): Professionalism
Decision Date: 02/26/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) was found to have engaged in a fraudulent transfer of real property; 2) was sanctioned for intentional spoliation of data from his computers in violation of a court protective order; and 3) did not pay enrollment fees for a continuing education course he attended, and did not provide proof of payment upon CFP Board’s request.

22961 – Anonymous Case History
Decision: Suspension
Keyword(s): Misrepresentation; Fitness; Forgery
Standard(s) Violated: Article 606(b); 406; 607; 201; Article 3(a); 102
Matter Type(s): Professionalism; Client Dissatisfaction
Decision Date: 03/23/2010
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he signed his clients’ initials to account-related documents and represented to his employer that the initials were made by the clients.

24019 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Professional Discipline; Employer Policy Violation; Professionalism
Standard(s) Violated: Article 406; 606(a); 607; 606(b); 6.5; 201; Article 3(a)
Matter Type(s): Professionalism
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) failed to file the required documentation regarding brief remarks at a cocktail party (“Presentation”); and 2) failed to disclose to his firm and a state regulator that he conducted the Presentation.

24452 – Anonymous Case History
Decision: Suspension
Keyword(s): Breach of Contract; Lawsuits Involving Financial Matters; Professionalism; Fitness; Other Ethics; Bankruptcy
Standard(s) Violated: Article 6.5; 607; Article 3(a)
Matter Type(s): Professionalism
Decision Date: 08/22/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) failed to satisfy his payment obligations for a least five CFP® professionals who provided instructor services for his consulting company (“Company”); 2) breached his contract with University A and B, resulting in outstanding debt obligations to University A and B; and 3) filed for Chapter 13 Bankruptcy.

24658 – Anonymous Case History
Decision: Suspension
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Professionalism
Decision Date: 09/23/2010
Summary: Whether a candidate for CFP® CFP® certification (“Respondent”) could be certified when he filed for bankruptcy within five years prior to submitting his Initial Application for CFP® Certification.

25242 – Anonymous Case History
Decision: Suspension
Keyword(s): Fitness; Bankruptcy; Outside Business Activity; Disclosure to Clients; Employer Policy Violation
Standard(s) Violated: Article 6.5; 401(a); 406
Matter Type(s): Civil Court; Professionalism
Decision Date: 04/25/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Board’s Standards of Professional Conduct when she: 1) failed to adequately disclose her outside business activities to her employer; 2) failed to sufficiently document and disclose the conflict of interest of her clients investing with her family members; and 3) filed for Chapter 7 Bankruptcy.

25535 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Fitness; Bankruptcy; Failure to Respond to CFP Board
Standard(s) Violated: Article Article 3(f); Article 3(a); 6.5
Matter Type(s): Professionalism
Decision Date: 04/25/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he did not respond to a Complaint issued to him by CFP Board.

26150 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professionalism; Forgery; Disclosure to Clients; Fitness
Matter Type(s): Professionalism; Other Professional Discipline; FINRA Discipline
Decision Date: 07/25/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he received a suspension from association with any National Association of Securities Dealers (“NASD”) member in any capacity for 30 days in 2004.

26241 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article Article 3(a); 6.5
Matter Type(s): Professionalism
Decision Date: 11/10/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy in 2010.

26317 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Professionalism
Decision Date: 11/09/2011
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when he filed for bankruptcy within five years prior to submitting his Initial Application for CFP® Certification.

26658 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Professionalism
Decision Date: 11/28/2011
Summary: Whether a registrant ("Respondent") could be certified when he filed for Chapter 7 Bankruptcy protection less that five years prior to applying for certification.

26700 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Fitness; Bankruptcy
Matter Type(s): Professionalism
Decision Date: 08/09/2012
Summary: Whether a registrant ("Respondent") could be certified when he filed for Chapter 7 Bankruptcy protection less than five years prior to applying for certification.

Page 1 of 1 , 18 Items in Total