Page 1 of 1 , 16 Items in Total
31074 – Anonymous Case History
Decision: Suspension
Keyword(s): Disclosure to CFP Board; Felony-Non-Violent Crime; DUI/DWI
Standard(s) Violated: Article Article 3(c); 6.5
Decision Date: 10/01/2018
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he was convicted of Driving Under the Influence (“DUI”), which in this case was a class 4 felony because of prior misdemeanor convictions.


30411 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): DUI/DWI; Third-DUI-Offense; Misdemeanor
Standard(s) Violated: Article Article 3(c); Article 3(a); 6.5
Matter Type(s): Criminal Court; Criminal
Decision Date: 02/01/2018
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of DUI, Second Offense, his third DUI conviction since 1989.  
 

23408 – Anonymous Case History
Decision: Suspension
Keyword(s): Fraud Related to Professional Activity; Failure to Notify CFP Board; Employer Policy Violation; Professional Discipline; Continuing Education Violation; Fitness; Diligence
Standard(s) Violated: Article Article 3(e); Article 3(d); Article 3(a); 406; 606(a); 606(b); 607; 201; 102
Matter Type(s): FINRA Discipline
Decision Date: 04/29/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he allowed a trainee to complete portions of his required CFP Board continuing education credits.

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.

26986 – Anonymous Case History
Decision: Suspension
Keyword(s): Misdemeanor; Professionalism; DUI/DWI
Standard(s) Violated: Article Article 3(a); 607; Article 3(c); 6.5
Matter Type(s): Criminal Court
Decision Date: 04/26/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of Driving While Intoxicated (“DWI”), a criminal misdemeanor, three times over a period of eight years.

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.

28598 – Anonymous Case History
Decision: Suspension
Keyword(s): Fitness; Misdemeanor; DUI/DWI; Settlement
Standard(s) Violated: Article 607; 6.5
Matter Type(s): Civil Court
Decision Date: 11/08/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he pleaded guilty and was convicted of three alcohol-related offenses over a period of 10 years.

28988 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): DUI/DWI
Standard(s) Violated: Article 6.5
Matter Type(s): Criminal Court
Decision Date: 08/22/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he pleaded guilty to Driving While Intoxicated, resulting in his third alcohol-related criminal conviction.

31119 – Anonymous Case History
Decision: Suspension
Keyword(s): Fraud Related to Professional Activity; Continuing Education Violation; Misrepresentation
Standard(s) Violated: Article 2.1; 6.2; Article 3(g); 6.5
Matter Type(s): Case Developed By Staff
Decision Date: 10/01/2018
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he falsely self-reported to CFP Board that he had completed more than 30 Continuing Education (“CE”) courses providing approximately 80 hours of credits during three CE reporting. 


30580 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): DUI/DWI
Standard(s) Violated: Article Article 3(c); Article 3(a); 6.5
Matter Type(s): Criminal Court; Criminal
Decision Date: 10/18/2017
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of two counts of misdemeanor Operating Under the Influence and one count of misdemeanor Interfering with an Officer.  


29035 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Disclosure to CFP Board; DUI/DWI; Failure to Notify CFP Board
Standard(s) Violated: Article 6.5; 6.3
Matter Type(s): Criminal Court
Decision Date: 04/13/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) was convicted of driving under the influence twice; 2) was convicted of driving with a restricted license; and 3) failed to notify CFP Board that his address changed within 45 days.

29425 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; DUI/DWI; Felony-Non-Violent Crime
Standard(s) Violated: Article 607; 6.5
Matter Type(s): Criminal Court
Decision Date: 03/25/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of misdemeanor Reckless Driving in 2005 and misdemeanor driving under the influence (“DUI”) in 2014.

29571 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): DUI/DWI
Standard(s) Violated: Article 6.5
Matter Type(s): Criminal
Decision Date: 12/04/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she was convicted of misdemeanor driving while intoxicated offenses in 2013 and 2015.

29915 – Anonymous Case History
Decision: Private Censure
Keyword(s): DUI/DWI
Standard(s) Violated: Article Article 3(c); 6.5; Article 3(a)
Matter Type(s): Criminal
Decision Date: 10/17/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of his second DUI misdemeanor.

30086 – Anonymous Case History
Decision: Private Censure
Keyword(s): DUI/DWI
Standard(s) Violated: Article 6.5; Article 3(c); Article 3(a)
Matter Type(s): Criminal
Decision Date: 10/17/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of misdemeanor Driving While Intoxicated (“DWI”) on two occasions in 2012 and 2015.

30094 – Anonymous Case History
Decision: Suspension
Keyword(s): DUI/DWI
Standard(s) Violated: Article 6.5; Article 3(c); Article 3(a)
Matter Type(s): Criminal
Decision Date: 10/17/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he received his fourth criminal misdemeanor DWI conviction.

Page 1 of 1 , 16 Items in Total