Page 1 of 1 , 10 Items in Total
22183 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Misuse of the Marks; Settlement; Professional Discipline; Securities Laws Violation; Misrepresentation
Standard(s) Violated: Article 102; 601; 606(b); 607; Article 3(a); 606(a)
Matter Type(s): Other Professional Discipline
Decision Date: 12/03/2009
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he lied to his employer about his use of prohibited solicitation materials, resulting in a Letter of Caution from the National Association of Securities Dealers.

22203 – Anonymous Case History
Decision: Private Censure
Keyword(s): Disclosure to CFP Board; Settlement; Misdemeanor
Standard(s) Violated: Article Article 3(c); 607; Article 3(g); Article 3(a)
Matter Type(s): Civil Court
Decision Date: 02/27/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct by having two misdemeanor convictions and not disclosing them on his Initial Certification Application.

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.

22437 – Anonymous Case History
Decision: Private Censure
Keyword(s): Other Ethics; Settlement
Standard(s) Violated: Article 607; 602; Article 3(a)
Matter Type(s): Client Dissatisfaction
Decision Date: 02/26/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he did not pay another CFP® certificant for services rendered.

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.

22598 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Failure to Notify CFP Board; Settlement; Misdemeanor; DUI/DWI
Standard(s) Violated: Article Article 3(a); Article 3(c); Article 3(e); 607
Matter Type(s): Criminal Court
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he pleaded guilty to a Driving Under the Influence charge in 2008, and did not notify CFP Board within 10 days of his criminal conviction.

22631 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Professional Discipline; Misdemeanor; Settlement
Standard(s) Violated: Article 607; 606(a); Article 3(a)
Matter Type(s): Criminal Court
Decision Date: 08/18/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he: 1) pleaded guilty to shoplifting in 1988; and 2) entered into a Consent Order with a state banking and insurance agency in 1998.

22655 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; Settlement; Disclosure to CFP Board
Standard(s) Violated: Article Article 3(c); 607; Article 3(g); Article 3(a)
Matter Type(s): Criminal Court
Decision Date: 02/26/2009
Summary: Whether an applicant for CFP® certification violated CFP Board’s Standards of Professional Conduct when he failed to disclose his involvement in a misdemeanor theft on his Initial Certification Application.

22798 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misrepresentation; Professional Discipline; Forgery; Settlement; Record-Keeping; Disclosure to CFP Board
Standard(s) Violated: Article 102; 201; 406; 607; Article 3(g); 606(b); Article 3(a)
Matter Type(s): FINRA Arbitration
Decision Date: 08/10/2009
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he placed an incorrect date, at his client’s request, next to his branch office manager’s signature on several documents.

23271 – Anonymous Case History
Decision: Suspension
Keyword(s): Bankruptcy; Settlement
Standard(s) Violated: Article Article 3(a); 607
Matter Type(s): Civil Court
Decision Date: 12/02/2009
Summary: Whether an applicant for reinstatement of his CFP® certification violated CFP Board’s Standards of Professional Conduct when he had filed for bankruptcy twice.

Page 1 of 1 , 10 Items in Total