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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.

29538 – Anonymous Case History
Decision: Revocation by DEC
Keyword(s): Bankruptcy; Felony-Tax; Judgment Lien
Standard(s) Violated: Article 6.5; Article 3(a); Article 3(g)
Matter Type(s): Bankruptcies; Judgments/Liens
Decision Date: 03/25/2016
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he: 1) filed Chapter 7 Bankruptcy in 1990 and again in 2014; and 2) informed CFP Board on multiple renewal applications for CFP® certification that he had not been a defendant or respondent in a civil action including, but not limited to, a lawsuit, arbitration or mediation relating to his professional activities when in 2009, Respondent was a defendant in a class action lawsuit concerning his professional activities.

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