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23806 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Judgment Lien; Fitness; Bankruptcy; Failure to Respond to CFP Board
Standard(s) Violated: Article Article 3(a); 607
Matter Type(s): Civil Court
Decision Date: 03/26/2010
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.

25199 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Professional Discipline; Failure to Respond to CFP Board; Failure to Repay Loan to Firm; Failure to Notify CFP Board; Judgment Lien; Professionalism
Standard(s) Violated: Article 6.4; Article 3(e); 606(b); 6.5; Article 3(d); Article 3(f); 607; Article 3(a)
Matter Type(s): FINRA Arbitration
Decision Date: 07/22/2011
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.

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