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16726 – Anonymous Case History
Decision: Private Censure
Keyword(s): Lawsuits Involving Financial Matters; Disclosure to CFP Board; Misrepresentation; Professional Discipline; Arbitration
Standard(s) Violated: Article Article 3(a); 607; Article 3(g)
Matter Type(s): FINRA Discipline; Client Dissatisfaction
Decision Date: 11/30/2009
Summary: Whether a candidate for CFP® certification (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) Made exaggerated statements and improper projections about clients’ accounts; 2) Prepared and/or used documents that had not been approved by a registered principal of Respondent’s firm; 3) Failed to retain records showing which sales materials were disseminated to customers; and 4) Failed to disclose a 2003 civil suit and a 2003 National Association of Securities Dealers (“NASD”) arbitration on the Declaration Section of his Initial Application for CFP® Certification.

20393 – Anonymous Case History
Decision: Private Censure
Keyword(s): Disclosure to CFP Board; Arbitration
Standard(s) Violated: Article Article 3(g)
Matter Type(s): FINRA Arbitration
Decision Date: 11/06/2008
Summary: Whether a candidate for CFP® certification violated CFP Board’s Standards of Professional Conduct by failing to disclose a National Association of Securities Dealers Arbitration on his Initial Certification Application.

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.

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.

22544 – Anonymous Case History
Decision: Private Censure
Keyword(s): Misdemeanor; Disclosure to CFP Board; Misuse of the Marks
Standard(s) Violated: Article Article 3(g); 601; Article 3(a); 606(b)
Matter Type(s): Criminal Court; CFP Board
Decision Date: 03/26/2010
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when she: 1) failed to report to CFP Board that she was a defendant in a criminal proceeding; and 2) misused the CFP® certification marks.

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.

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.

26476 – Anonymous Case History
Decision: Suspension
Keyword(s): Arbitration; Suitability; Client's Best Interest; Fiduciary Duty
Standard(s) Violated: Article 6.5; 4.4; 202; 1.4; 4.5; 606(b); 201; 102; 607; 1.3; 703
Matter Type(s): FINRA Arbitration
Decision Date: 05/08/2013
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he concentrated clients’ assets in private placements.

Page 1 of 1 , 8 Items in Total