Page 1 of 1 , 10 Items in Total
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.

22290 – Anonymous Case History
Decision: Private Censure
Keyword(s): Judgment Lien; Fitness; Settlement; Bankruptcy
Standard(s) Violated: Article 607; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 08/10/2009
Summary: Whether an applicant for reinstatement of his CFP® certification violated CFP Board’s Standards of Professional Conduct when he filed for bankruptcy in 2004 and accrued various judgment liens.

22588 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Settlement; Judgment Lien
Standard(s) Violated: Article 607; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 08/10/2009
Summary: Whether an applicant for reinstatement of his CFP® certification violated CFP Board’s Standards of Professional Conduct due to his involvement in a 2007 Internal Revenue Service tax lien in the amount of $143,503.33.

23702 – Anonymous Case History
Decision: Private Censure
Keyword(s): Judgment Lien; Bankruptcy; Settlement; Fitness
Standard(s) Violated: Article Article 3(a); 607
Matter Type(s): Civil Court; Client Dissatisfaction
Decision Date: 03/29/2010
Summary: Whether an applicant for reinstatement of his CFP® certification violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy in 2005 and was the subject of a 2008 judgment lien.

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.

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.

26931 – Anonymous Case History
Decision: Private Censure
Keyword(s): Forgery; Judgment Lien; Customer Complaints
Standard(s) Violated: Article 6.5; 201; 607; 4.3; 4.4
Decision Date: 04/11/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: 1) assisted a client with obtaining restitution from an insurance company after taking two withdrawals in an Annuity contract year with the knowledge that it would reduce the guaranteed withdrawal benefits of the Annuity; and 2) altered dates on a client document.

29430 – Anonymous Case History
Decision: Suspension
Keyword(s): Judgment Lien
Standard(s) Violated: Article 6.5
Matter Type(s): Judgments/Liens
Decision Date: 07/31/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he failed to file taxes for a number of years and had an outstanding amount owed to the Internal Revenue Service (“IRS”) in excess of $136,000.

29538 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Bankruptcy; Felony-Tax; Judgment Lien
Standard(s) Violated: Article 6.5; Article 3(a); Article 3(g)
Matter Type(s): Bankruptcies; Judgments/Liens
Decision Date: 03/25/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) filed Chapter 7 Bankruptcy in 1990 and again in 2014; and 2) informed CFP Board on multiple renewal applications for CFP® certification that he had not been a defendant or respondent in a civil action including, but not limited to, a lawsuit, arbitration or mediation relating to his professional activities when in 2009, Respondent was a defendant in a class action lawsuit concerning his professional activities.

Page 1 of 1 , 10 Items in Total