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26401 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy
Standard(s) Violated: Article Article 3(a); 6.5
Matter Type(s): Civil Court
Decision Date: 02/14/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when she filed for Chapter 13 Bankruptcy in June 2010.

26612 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Borrowing from Client; Suitability; Bankruptcy
Standard(s) Violated: Article 606(b); 102; 607; 1.4; 501; 202; 6.5; 401(a); 103(d)
Matter Type(s): Civil Court
Decision Date: 08/14/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he made a series of misrepresentations to financial planning clients related to a loan used to purchase bank stock on behalf of the clients.

26870 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Bankruptcy
Standard(s) Violated: Article Article 3(a); 607; 6.5
Matter Type(s): Civil Court
Decision Date: 03/27/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when she filed for Chapter 7 Bankruptcy in 1999 and 2009.

26875 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Fitness; Bankruptcy; Failure to Respond to CFP Board
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 01/04/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when she did not respond to a Complaint issued to her by CFP Board.

26904 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Judgment Lien; Fitness; Bankruptcy
Standard(s) Violated: Article 6.5
Matter Type(s): Civil Court
Decision Date: 02/14/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when she: 1) ceased making mortage payments on a commerical property she owned, resulting in a Judgment of Foreclosuer against her for approximately $1,000,000; and 2) filed for Chapter 7 Bankruptcy.

26933 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Continuing Education Violation
Standard(s) Violated: Article 607; 606(a); 606(b); 102
Matter Type(s): FINRA Discipline
Decision Date: 03/08/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he received a Financial Industry Regulatory Authority (“FINRA” previously known as National Association of Securities Dealers “NASD”) suspension and $5,000 fine for using an answer key to complete a Long-Term Care (“LTC”) Continuing Education (“CE”) examination.

26978 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 11/28/2011
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy in January 2010.

27041 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Respond to CFP Board; Bankruptcy
Standard(s) Violated: Article 6.5; Article 3(a); Article 3(f); 6.1
Matter Type(s): Civil Court
Decision Date: 04/26/2012
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.

27043 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 04/26/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy in April 2009.

27067 – Anonymous Case History
Decision: Private Censure
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article Article 3(a); 6.5
Matter Type(s): Civil Court
Decision Date: 05/10/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy.

27193 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Respond to CFP Board; Fitness; Bankruptcy
Standard(s) Violated: Article 6.1; Article 3(a); 6.5; Article 3(f); 607
Matter Type(s): Civil Court
Decision Date: 04/26/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduce when he did not respond to a Complaint issued to him by CFP Board.

27216 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Bankruptcy
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 08/21/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conductwhen he filed for bankruptcy in 2011.

27222 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Respond to CFP Board; Bankruptcy; Professional Discipline
Standard(s) Violated: Article 6.5; 6.1; 607; Article 3(a); 6.4
Matter Type(s): Civil Court; Other Professional Discipline
Decision Date: 07/20/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) incurred a 2006 IRS Tax Lien; 2) failed to complete required CE, resulting in a 2004 Insurance License Suspension; 3) filed for Chapter 13 Bankruptcy in 2004; 4) filed for Chapter 13 Bankruptcy in 2002; 5) filed for Chapter 13 Bankruptcy in 1998, which Respondent converted to Chapter 7 Bankruptcy; and 6) failed to provide documentation requested by CFP Board.

27227 – Anonymous Case History
Decision: Suspension
Keyword(s): Fitness; Employer Policy Violation; Supervision; Forgery; Bankruptcy
Standard(s) Violated: Article 5.1; 6.5; 4.3; Article 3(a); 4.1; 4.4
Matter Type(s): Civil Court
Decision Date: 07/20/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conductwhen he: 1) filed for Chapter 7 Bankruptcy in 2010; 2) allowed clients to sign incomplete documents; and 3) allowed an assistant to add information to documents after clients had signed the document.

27286 – Anonymous Case History
Keyword(s): Fitness; Bankruptcy
Standard(s) Violated: Article 6.5
Matter Type(s): Civil Court
Decision Date: 04/29/2013
Summary: CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct

27435 – Anonymous Case History
Decision: Dismiss--No Merit
Keyword(s): Bankruptcy
Standard(s) Violated: Article 6.5
Matter Type(s): Civil Court
Decision Date: 04/26/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Rules of Conduct when he filed for Chapter 7 Bankruptcy.

27640 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article 6.5; 4.4; 4.1; 5.1; 4.3; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 07/20/2012
Summary: Whether a candidate for CFP® certification (“Respondent”) could be certified when his employer terminated him because he sold fixed-indexed annuities outside without his employer’s approval, and in violation of his employer’s policy.

28039 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Bankruptcy
Standard(s) Violated: Article 6.5
Matter Type(s): Civil Court
Decision Date: 03/29/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she filed for Chapter 7 Bankruptcy in 1995 and again in 2011.

28048 – Anonymous Case History
Decision: Private Censure
Keyword(s): Bankruptcy; Failure to Cooperate with Staff
Standard(s) Violated: Article 6.5; 6.1; 607
Matter Type(s): Civil Court
Decision Date: 03/29/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy in 1987 and again in 2010.

28137 – Anonymous Case History
Decision: Suspension
Keyword(s): Bankruptcy
Standard(s) Violated: Article 607; 6.5
Matter Type(s): Civil Court
Decision Date: 03/25/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy in 1994 and Chapter 13 Bankruptcy in 2010.

28190 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professional Discipline; Continuing Education Violation; Disclosure to CFP Board
Standard(s) Violated: Article 102; 606(a); 201; 606(b); 607
Matter Type(s): FINRA Discipline
Decision Date: 03/29/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) allowed an individual to sign roster sheets indicating that he had attended insurance CE class sessions taught by Respondent, when the individual had not; and 2) provided the same individual with State Insurance Department course completion certificates for courses the individual had not completed.

28381 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Bankruptcy
Standard(s) Violated: Article 6.5
Matter Type(s): Civil Court
Decision Date: 09/09/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she by filed for bankruptcy for the third time in 2009.

28477 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy
Standard(s) Violated: Article Article 3(a); 607; 6.5
Matter Type(s): Civil Court
Decision Date: 08/09/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for bankruptcy in 1981, 1990 and 2010.

28519 – Anonymous Case History
Decision: Suspension
Keyword(s): Bankruptcy
Standard(s) Violated: Article 6.5; 607
Matter Type(s): Civil Court
Decision Date: 12/06/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy in 1996 and again in 2010.

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