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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.

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.

27216 – 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: 08/21/2012
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conductwhen he filed for bankruptcy in 2011.

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