1 2 Next Page 1 of 2 , 44 Items in Total
14399 – Anonymous Case History
Decision: Suspension
Keyword(s): Record-Keeping; Failure to Notify CFP Board; Outside Business Activity; Previous Discipline; Conflict of Interest
Standard(s) Violated: Article 406; Article 3(a); 606(a); Article 3(e); 607; 606(b); 407(a)
Matter Type(s): FINRA Arbitration; Civil Court
Decision Date: 08/10/2009
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when he conducted outside business activities without disclosing them to his employer and without obtaining his employer’s approval.

19994 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Outside Business Activity; Misrepresentation; Disclosure to Clients; Employer Policy Violation; Failure to Respond to CFP Board; Conflict of Interest
Standard(s) Violated: Article Article 3(a); 201; 409; 406; 607; 102; Article 3(f); 606(b); 407(a); 408
Matter Type(s): Professionalism; Client Dissatisfaction; Civil Court
Decision Date: 04/07/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when she sold an interest-bearing promissory note to her client (“Client”) that she represented to the Client as a limited liability interest in a real estate investment venture.

22305 – Anonymous Case History
Decision: Suspension
Keyword(s): Diligence; Employer Policy Violation; Conflict of Interest; Borrowing from Client
Standard(s) Violated: Article Article 3(a); 406; 201; 606(b); 409; 607
Matter Type(s): Professionalism; Civil Court
Decision Date: 04/06/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he: 1) accepted a $100,000 loan from a client, which violated his firm's policy against borrowing from clients; 2) failed to repay the client's loan according to the original terms of the promssory note; 3) failed to disclose any potential conflicts of interest and the risks associated with the promissory note; 4) failed to determine whether the promissory note he executed with his client was appropriate for his client; 5) allowed the client to purchase a piece of real estate for Respondent's benefit; and 6) failed to disclose any potential conflicts of interest and the risks associated with the client's purchase of a piece of real estate.

23723 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 08/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy in 2009.

23901 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Breach of Contract; Bankruptcy
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Client Dissatisfaction; Civil Court
Decision Date: 05/07/2010
Summary: Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when she failed to comply with a settlement agreement and filed for Chapter 13 Bankruptcy.

24249 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article 6.5
Matter Type(s): Civil Court
Decision Date: 12/06/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy in 1997 and Chapter 7 Bankruptcy in 2012.

24396 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Bankruptcy; Failure to Respond to CFP Board; Fitness
Standard(s) Violated: Article Article 3(a); 6.5
Matter Type(s): Civil Court
Decision Date: 03/26/2010
Summary: Whether a registrant for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she did not respond to a Complaint issued to her by CFP Board.

24635 – Anonymous Case History
Decision: Private Censure
Keyword(s): Fitness; Bankruptcy
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 07/23/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy.

24677 – Anonymous Case History
Decision: Suspension
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 08/23/2010
Summary: Whether an applicant for reinstatement of her CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she filed for Chapter 7 Bankruptcy in 2009.

25242 – Anonymous Case History
Decision: Suspension
Keyword(s): Fitness; Bankruptcy; Outside Business Activity; Disclosure to Clients; Employer Policy Violation
Standard(s) Violated: Article 6.5; 401(a); 406
Matter Type(s): Civil Court; Professionalism
Decision Date: 04/25/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Board’s Standards of Professional Conduct when she: 1) failed to adequately disclose her outside business activities to her employer; 2) failed to sufficiently document and disclose the conflict of interest of her clients investing with her family members; and 3) filed for Chapter 7 Bankruptcy.

25331 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Respond to CFP Board; Bankruptcy
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 09/20/2011
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.

25362 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Borrowing from Client; Bankruptcy; Fitness; Lawsuits Involving Financial Matters
Standard(s) Violated: Article 607; 6.5; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 03/25/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) filed for Chapter 7 Bankruptcy in 2010; and 2) encouraged his friends to invest in his brother’s real estate project.

25832 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Fitness; Bankruptcy
Standard(s) Violated: Article Article 3(a); 6.5
Matter Type(s): Civil Court
Decision Date: 08/22/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy in 2009.

25921 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 07/25/2011
Summary: Whether an applicant for reinstatement of his CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy protection and Chapter 11 Bankruptcy protection in 2010.

25951 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article Article 3(a); 6.5
Matter Type(s): Civil Court
Decision Date: 08/22/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he filed for bankruptcy.

26401 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy
Standard(s) Violated: Article Article 3(a); 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 filed for Chapter 13 Bankruptcy in June 2010.

26612 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Borrowing from Client; Suitability; Bankruptcy
Standard(s) Violated: Article 606(b); 102; 607; 1.4; 501; 202; 6.5; 401(a); 103(d)
Matter Type(s): Civil Court
Decision Date: 08/14/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he made a series of misrepresentations to financial planning clients related to a loan used to purchase bank stock on behalf of the clients.

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.

26875 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Fitness; Bankruptcy; Failure to Respond to CFP Board
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 01/04/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when she did not respond to a Complaint issued to her 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.

26978 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 11/28/2011
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he filed for Chapter 7 Bankruptcy in January 2010.

27041 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Failure to Respond to CFP Board; Bankruptcy
Standard(s) Violated: Article 6.5; Article 3(a); Article 3(f); 6.1
Matter Type(s): Civil Court
Decision Date: 04/26/2012
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.

27043 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article 6.5; Article 3(a)
Matter Type(s): Civil Court
Decision Date: 04/26/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy in April 2009.

27067 – Anonymous Case History
Decision: Private Censure
Keyword(s): Bankruptcy; Fitness
Standard(s) Violated: Article Article 3(a); 6.5
Matter Type(s): Civil Court
Decision Date: 05/10/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he filed for Chapter 13 Bankruptcy.

1 2 Next Page 1 of 2 , 44 Items in Total