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25984 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy; Professionalism
Standard(s) Violated: Article 6.5; 4.4
Matter Type(s): Professionalism; Client Dissatisfaction
Decision Date: 01/04/2012
Summary: Whether a CFP® professional ("Respondnet") violated CFP Board's Standards of Professional Conduct when he: 1) failed to properly execute a client's ("Client") requests for automatic transfers between two accounts; and 2) filed for Chapter 7 bankruptcy.

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.

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