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30411 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): DUI/DWI; Third-DUI-Offense; Misdemeanor
Standard(s) Violated: Article Article 3(c); Article 3(a); 6.5
Matter Type(s): Criminal Court; Criminal
Decision Date: 02/01/2018
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of DUI, Second Offense, his third DUI conviction since 1989.  
 

11390 – Anonymous Case History
Decision: Suspension
Keyword(s): Arbitration; Failure to Notify CFP Board; Misappropriation; Breach of Contract; Bankruptcy; Misrepresentation; Forgery; Customer Complaints; Lawsuits Involving Financial Matters
Standard(s) Violated: Article 201; 607; Article 3(c); Article 3(a); 102; 606(b); Article 3(e)
Matter Type(s): Civil Court
Decision Date: 04/16/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: 1) filed for Chapter 7 Bankruptcy; 2) was convicted of Operating a Motor Vehicle While Ability Impaired by Alcohol; and 3) was the subject of a series of arbitrations and customer complaints from 2001 through 2007.

14424 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Fitness; Misdemeanor
Standard(s) Violated: Article Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 03/26/2010
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he pleaded guilty to misdemeanor assault.

15094 – Anonymous Case History
Decision: Suspension
Keyword(s): Misuse of the Marks; Lawsuits Involving Financial Matters; Arbitration; Customer Complaints; Disclosure to Clients; Suitability; Diligence; Professionalism; Misrepresentation
Standard(s) Violated: Article Article 3(a); 607; 601; 201; 704; 606(b); 701; 102
Matter Type(s): FINRA Arbitration
Decision Date: 08/11/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) recommended variable annuities to elderly clients; and 2) omitted the registered trademark symbol when referring to CFP® on his letterhead, certification salutations and documents.

19812 – Anonymous Case History
Decision: Private Censure
Keyword(s): Diligence; Settlement; Lawsuits Involving Financial Matters; Negligence; Misrepresentation; Breach of Contract; Fiduciary Duty
Standard(s) Violated: Article 701
Matter Type(s): Civil Court
Decision Date: 08/24/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when a state civil court found him liable for violation of a state Consumer Protection Act after the wife of a former client (“Client”) lost her claim for benefits due to an inaccurate answer on the Client’s life insurance application.

20420 – Anonymous Case History
Decision: Private Censure
Keyword(s): Suitability; Churning; Lawsuits Involving Financial Matters; Professional Discipline; Unauthorized Transaction; Diligence; Misrepresentation
Standard(s) Violated: Article Article 3(a); 701; 703; 201
Matter Type(s): Other Professional Discipline; Professionalism; FINRA Arbitration; Civil Court
Decision Date: 03/06/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he executed numerous trades in the account of a client without her approval.

21533 – Anonymous Case History
Decision: Suspension
Keyword(s): Professionalism; Misdemeanor; DUI/DWI; Settlement; Felony-Non-Violent Crime
Standard(s) Violated: Article Article 3(c); Article 3(a); 607; Article 12.2
Matter Type(s): Civil Court
Decision Date: 11/07/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when she was convicted of: 1) leaving the scene of an accident involving a serious injury, which is a felony; and 2) driving under the influence, which is a misdemeanor.

21787 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Fraud Related to Professional Activity; Diligence; Disclosure to Clients; Securities Laws Violation; Misrepresentation; Unauthorized Use of the Marks; Professional Discipline; Breach of Contract; Suitability; Commingling; Lawsuits Involving Financial Matters; C
Standard(s) Violated: Article 607; 102; 704; Article 3(a); 201; Article 3(g); 103(d); 606(b); 606(a); 601; 701
Matter Type(s): Client Dissatisfaction
Decision Date: 02/27/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) did not fully inform his client (“Client”) as to the nature of an investment he made for her and did not provide risk disclosure documents to her; 2) did not inform the Client about a civil suit he initiated against the company that offered the product; 3) did not research the company that offered the product before the Client invested in it; 4) commingled his investment funds with the Client’s; 5) used the CFP® marks while not certified; and 6) violated federal and state securities regulations.

21850 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; Professionalism
Standard(s) Violated: Article 607; Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 08/08/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he was charged with indecent exposure, a state crime.

21922 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; Felony-Theft; Embezzlement or Other Financial
Standard(s) Violated: Article Article 3(c); 607
Matter Type(s): Criminal Court
Decision Date: 08/08/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he was involved in a petty larceny offense during college.

21937 – Anonymous Case History
Decision: Suspension
Keyword(s): Diligence; Professional Discipline; Supervision; Securities Laws Violation; Fitness; Failure to Notify CFP Board
Standard(s) Violated: Article 606(b); 607; 701; 606(a); 201; Article 3(a)
Matter Type(s): SEC Discipline
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) failed to conduct adequate due diligence of investments that he recommended to clients; and 2) entered into a settlement agreement with the Securities and Exchange Commission (“SEC”) in which he agreed to a one-year bar from associating with any investment adviser.

22005 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Misdemeanor; Disclosure to CFP Board
Standard(s) Violated: Article 612; Article 3(g); Article 3(a); 607; Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 07/11/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he did not disclose his involvement in a misdemeanor theft on the Declaration Section of his Initial Certification Application.

22048 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor
Standard(s) Violated: Article Article 3(c); 607
Matter Type(s): Criminal Court
Decision Date: 07/11/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when she had been involved in a misdemeanor theft during college.

22054 – Anonymous Case History
Decision: Granted Petition
Keyword(s): Professionalism; Employer Policy Violation; Misdemeanor; Forgery; Settlement; Diligence
Standard(s) Violated: Article Article 3(a); 102; 606(a); 701; 606(b); 607
Matter Type(s): Other Professional Discipline; Criminal Court
Decision Date: 11/25/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he: 1) was convicted of driving under the influence and; 2) was asked to resign from a financial services firm (“Firm”) after he photocopied a client’s (“Client”) signature onto a Firm document.

22131 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor
Standard(s) Violated: Article Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 11/07/2008
Summary: Whether a candidate for CFP® certification ("Respondent") violated CFP Board’s Standards of Professional Conduct when his altercation with another individual resulted in two misdemeanor convictions against Respondent.

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.

22388 – Anonymous Case History
Decision: Private Censure
Keyword(s): Professionalism; Misdemeanor
Standard(s) Violated: Article Article 3(c); 607
Matter Type(s): Criminal Court
Decision Date: 11/07/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct when he disclosed his involvement in a misdemeanor theft on his Initial Certification Application.

22586 – Anonymous Case History
Decision: Dismiss--w/Caution
Keyword(s): Misdemeanor; Professionalism
Standard(s) Violated: Article Article 3(a); 607; Article 3(c)
Matter Type(s): Criminal Court
Decision Date: 02/26/2009
Summary: Whether a candidate for CFP® certification who was convicted of misdemeanor theft during college is eligible to be certified.

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.

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.

22868 – Anonymous Case History
Decision: Suspension
Keyword(s): Interim Suspension; Failure to Notify CFP Board; Misdemeanor
Standard(s) Violated: Article Article 3(c); Article 3(a); 607
Matter Type(s): Criminal Court
Decision Date: 04/25/2011
Summary: Whether a CFP® certificant adequately proved under CFP Board’s Standards of Professional Conduct that he did not pose an immediate threat to the public after he: 1) pleaded guilty to a second-degree criminal misdemeanor; and 2) did not report the plea to CFP Board within 10 calendar days.

23870 – Anonymous Case History
Decision: Denied But Allow Reapplication
Keyword(s): Failure to Notify CFP Board; Disclosure to CFP Board; Felony-Non-Violent Crime; Fitness; Serious Crime; Misdemeanor
Standard(s) Violated: Article Article 3(c); Article 3(a); Article 3(g); 607
Matter Type(s): Criminal Court
Decision Date: 04/16/2010
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of Conspiracy to Possess Marijuana with Intent to Distribute and Conspiracy to Distribute Cocaine.

24809 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Notify CFP Board; Suitability; Diligence; Employer Policy Violation; Professional Discipline; Borrowing from Client; Fitness; Settlement; Revocation of a Financial Professional License; Misrepresentation
Standard(s) Violated: Article Article 3(d); 202; Article 3(e); 406; 606(a); 607; 606(b); 701; 201; 102; 401(a); Article 3(a)
Matter Type(s): Other Professional Discipline; FINRA Arbitration
Decision Date: 04/26/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Board’s Standards of Professional Conduct when he: 1) offered and sold unregistered securities to clients in violation of sections of the State Securities Act; 2) failed to inform clients that the foreign currency exchange (“FOREX”) trading program investments were securities that were not registered with any state or federal regulatory authority; 3) participated in private securities transactions for compensation without providing written notice to and receiving written authorization from the Firm, in violation of its written procedures and National Association of Securities Dealers (“NASD,” now known as the Financial Industry Regulatory Authority, Inc. or “FINRA”) Conduct Rules 3040 and 2110; 4) borrowed $200,000 from a client in violation of the Firm’s written procedures and NASD Conduct Rules 2370 and 2110; 5) sold a product that the Firm did not have a selling agreement with, in violation of its written procedures; and 6) failed to provide requested information to FINRA in violation of NASD Rule 8210 and NASD Conduct Rule 2110.

25466 – Anonymous Case History
Decision: Suspension
Keyword(s): Misdemeanor; Bankruptcy
Standard(s) Violated: Article 607; Article 3(a); Article 3(c)
Matter Type(s): Criminal Court; Civil Court
Decision Date: 07/22/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) pleaded guilty to Fleeing a Police Officer, a misdemeanor, and 2) filed for Chapter 7 Bankruptcy, demonstrating an inability to manage his personal finances.

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