Page 1 of 1 , 19 Items in Total
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.  
 

13677 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Professionalism; Other Ethics; Arbitration; Professional Discipline
Standard(s) Violated: Article 102; 406; 606(b); 607; Article 3(a); 201; 606(a)
Matter Type(s): FINRA Arbitration
Decision Date: 10/17/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) sold the major asset of his investment advisory firm for his own benefit and to the detriment of his minority shareholders, who were also investment advisory clients; 2) failed to disclose on his state insurance license renewal application that he had been named in National Association of Securities Dealers (“NASD,” now known as the Financial Industry Regulatory Authority or “FINRA”) arbitrations and customer complaints; and 3) engaged in an adulterous relationship with his client while both were married.

16145 – Anonymous Case History
Decision: Suspension
Keyword(s): Professional Discipline; Fraud Related to Professional Activity; Customer Complaints; Suitability; Settlement; Diligence; Record-Keeping; Fitness; Disclosure to Clients; Client's Best Interest; Lawsuits Involving Financial Matters; Negligence; Competency
Standard(s) Violated: Article 606(a); 201; 401(a); Article 3(a); 405; 402; 606(b); 607; 102
Matter Type(s): Client Dissatisfaction
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) treated a client’s payments as nontaxable gifts rather than taxable income; 2) did not disclose the income on his 2000 and 2001 state and federal tax returns; 3) did not disclose to a client the potential for a conflict of interest in serving as the appointed trustee of a trust and as an investment adviser for the trust; 4) double and triple charged clients for services; and 5) failed to disclose commissions.

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.

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.

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.

23337 – Anonymous Case History
Decision: Suspension
Keyword(s): Other Ethics; Fitness; Misrepresentation
Standard(s) Violated: Article 607; 102; 101(b); Article 3(a)
Matter Type(s): Client Dissatisfaction
Decision Date: 01/06/2010
Summary: Whether a CFP® certificant (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he used copyrighted materials without permission or attribution.

24272 – Anonymous Case History
Decision: Letter of Admonition
Keyword(s): Diligence; Misrepresentation; Fitness; Record-Keeping; Professional Discipline; Revocation of Other Professional License; Settlement
Standard(s) Violated: Article 606(b); Article 3(e); 102; Article 3(d); 201; Article 3(a); 607; 701; 606(a)
Matter Type(s): Other Professional Discipline
Decision Date: 03/25/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he she improperly notarized a power of attorney and had her notary license revoked as a result.

24452 – Anonymous Case History
Decision: Suspension
Keyword(s): Breach of Contract; Lawsuits Involving Financial Matters; Professionalism; Fitness; Other Ethics; Bankruptcy
Standard(s) Violated: Article 6.5; 607; Article 3(a)
Matter Type(s): Professionalism
Decision Date: 08/22/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) failed to satisfy his payment obligations for a least five CFP® professionals who provided instructor services for his consulting company (“Company”); 2) breached his contract with University A and B, resulting in outstanding debt obligations to University A and B; and 3) filed for Chapter 13 Bankruptcy.

26763 – Anonymous Case History
Decision: Private Censure
Keyword(s): Record-Keeping; Fitness; Diligence; Misrepresentation; Professional Discipline
Standard(s) Violated: Article 6.5; Article 3(a); 5.1
Matter Type(s): SEC Discipline
Decision Date: 04/26/2012
Summary: Whether a CFP® professional ("Respondent") violated CFP Board's Standards of Professional Conduct when he was censured and fined by the Securities and Exchange Commission ("SEC") for: 1) failing to ensure that his firm ("Firm") maintained complete and accurate employee records; 2) instructing an associated person to backdate employment-related documents; and 3) knowingly submitting the backdated documents to the SEC without disclosing that they were backdated.

26986 – Anonymous Case History
Decision: Suspension
Keyword(s): Misdemeanor; Professionalism; DUI/DWI
Standard(s) Violated: Article Article 3(a); 607; Article 3(c); 6.5
Matter Type(s): Criminal Court
Decision Date: 04/26/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of Driving While Intoxicated (“DWI”), a criminal misdemeanor, three times over a period of eight years.

28173 – Anonymous Case History
Decision: Suspension
Keyword(s): Professional Discipline; Misdemeanor; Revocation of a Financial Professional License
Standard(s) Violated: Article 6.5
Matter Type(s): Other Professional Discipline
Decision Date: 04/03/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when his State life insurance license was revoked due to his failure to report a misdemeanor criminal conviction.

28203 – Anonymous Case History
Decision: Suspension
Keyword(s): Employer Policy Violation; Professional Discipline; Record-Keeping; Misrepresentation
Standard(s) Violated: Article 4.4; 5.1; 6.5
Matter Type(s): FINRA Discipline; Other Professional Discipline
Decision Date: 03/08/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) entered false information regarding Client’s state of residence into Firm 1’s electronic books and records; 2) included false information in an annuity application regarding the state in which Client signed the document; 3) transacted insurance business without proper state registration; and 4) was suspended by the Financial Industry Regulatory Authority, Inc. (“FINRA”, formerly known as the National Association of Securities Dealers or “NASD”).

28383 – Anonymous Case History
Decision: Private Censure
Keyword(s): Securities Laws Violation; Record-Keeping; Professional Discipline
Standard(s) Violated: Article 4.3; 6.5
Matter Type(s): Other Professional Discipline
Decision Date: 09/10/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) violated State Law by failing to file financial statements for his registered investment advisor for fiscal years 2009, 2010, and 2011 no later than 90 days after the end of each year; and 2) failed to respond to two requests for information filed by CFP Board.

28598 – Anonymous Case History
Decision: Suspension
Keyword(s): Fitness; Misdemeanor; DUI/DWI; Settlement
Standard(s) Violated: Article 607; 6.5
Matter Type(s): Civil Court
Decision Date: 11/08/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he pleaded guilty and was convicted of three alcohol-related offenses over a period of 10 years.

30414 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor
Standard(s) Violated: Article Article 3(c); Article-13.1; 6.5; Article 3(a)
Matter Type(s): Criminal; CFP Board
Decision Date: 10/02/2017
Summary:

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of sexual assault for groping a houseguest. 


29425 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; DUI/DWI; Felony-Non-Violent Crime
Standard(s) Violated: Article 607; 6.5
Matter Type(s): Criminal Court
Decision Date: 03/25/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he was convicted of misdemeanor Reckless Driving in 2005 and misdemeanor driving under the influence (“DUI”) in 2014.

30079 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor
Standard(s) Violated: Article 6.5
Matter Type(s): Criminal
Decision Date: 11/07/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) was charged with, and pleaded no contest to, Indecent Exposure; and 2) falsely attested to CFP Board that he was not currently charged with or convicted of a misdemeanor (other than minor traffic violations) within the last five years.

29364 – Anonymous Case History
Decision: Private Censure
Keyword(s): Record-Keeping; Previous Discipline
Standard(s) Violated: Article 5.1; 4.3; 6.5
Matter Type(s): Other Professional Discipline
Decision Date: 04/10/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he failed to: 1) adopt and implement written policies and procedures for his firm; 2) review and document the review of such policies and procedures at least annually; and 3) failed to accurately state in his Form ADV Part 2A that he did not complete advisory contracts for all of his clients.

Page 1 of 1 , 19 Items in Total