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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.

26970 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Bankruptcy
Standard(s) Violated: Article 607; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 06/15/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he demonstrated a continued inability to manage his personal finances by filing for his second Chapter 7 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.

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.

27223 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Failure to Cooperate with Staff; Fitness; Bankruptcy
Standard(s) Violated: Article Article 3(f); 607; 6.1; Article 3(a)
Matter Type(s): Civil Court; Criminal Court
Decision Date: 03/09/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he: 1) filed for Chapter 7 Bankruptcy in December 2007; and 2) failed to provide documents requested by CFP Board Staff.

27424 – Anonymous Case History
Decision: Private Censure
Keyword(s): Bankruptcy
Standard(s) Violated: Article 607; Article 3(a)
Decision Date: 07/20/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy in 2007.

Page 1 of 1 , 6 Items in Total