Revocation

CFP Board Imposes Interim Suspension on Timothy W. Leveroni of Braintree, Massachusetts

Retrieved on: 
Friday, April 5, 2024
Other Professional Services, Personal Finance, Finance, Asset Management, Consulting, Accounting, Professional Services, Business, Failure, Consent, Certification, Ethics commission, DEC, Petition, Record, Code, Motion, Commission, Counsel, Financial Industry Regulatory Authority, Respondent, CFP, FINRA, Revocation, AWC

Certified Financial Planner Board of Standards, Inc. (CFP Board) announced that it has imposed an interim suspension of the CFP Board certification against Timothy W. Leveroni, which is effective as of March 15, 2024.

Key Points: 
  • Certified Financial Planner Board of Standards, Inc. (CFP Board) announced that it has imposed an interim suspension of the CFP Board certification against Timothy W. Leveroni, which is effective as of March 15, 2024.
  • On February 13, 2024, CFP Board Enforcement Counsel filed a Petition for Interim Suspension (Petition) pursuant to Article 2.1.a.1.
  • An interim suspension is a suspension of a CFP® professional’s certification and trademark license during the pendency of CFP Board enforcement proceedings.
  • A Respondent subject to an Interim Suspension Order must not use the CFP Board certification marks, state or suggest that Respondent is a CFP® professional, or hold out to the public as being certified by CFP Board while the Interim Suspension Order is in effect.

CFP Board Imposes Interim Suspension on Edward Steven Mercer of Coral Springs, Florida

Retrieved on: 
Friday, April 5, 2024
Other Professional Services, Personal Finance, Finance, Asset Management, Consulting, Accounting, Professional Services, Business, Failure, Consent, Certification, Ethics commission, DEC, Code, Motion, Commission, Counsel, Financial Industry Regulatory Authority, Respondent, CFP, Revocation, FINRA, AWC, Financial adviser

Certified Financial Planner Board of Standards, Inc. (CFP Board) announced that it has imposed an interim suspension of the CFP Board certification marks against Edward Steven Mercer, which is effective as of January 31, 2024.

Key Points: 
  • Certified Financial Planner Board of Standards, Inc. (CFP Board) announced that it has imposed an interim suspension of the CFP Board certification marks against Edward Steven Mercer, which is effective as of January 31, 2024.
  • Counsel to the Disciplinary and Ethics Commission (DEC Counsel) issued an automatic Interim Suspension Order suspending Mr. Mercer’s right to use the CFP Board certification marks after CFP Board Enforcement Counsel provided notice to DEC Counsel that there were grounds for an automatic Interim Suspension Order.
  • An interim suspension is a suspension of a CFP® professional’s certification and trademark license during the pendency of CFP Board enforcement proceedings.
  • A Respondent subject to an Interim Suspension Order must not use the CFP Board certification marks, state or suggest that Respondent is a CFP® professional, or hold out to the public as being certified by CFP Board while the Interim Suspension Order is in effect.

CFP Board Imposes Interim Suspension on Lee Giobbie of Mount Holly, New Jersey

Retrieved on: 
Friday, April 5, 2024
Personal Finance, Finance, Consulting, Professional Services, Asset Management, Failure, Certification, Ethics commission, DEC, Crime, Code, Motion, Commission, Counsel, Respondent, Financial Industry Regulatory Authority, Enforcement, CFP, Revocation, FINRA

Certified Financial Planner Board of Standards, Inc. (CFP Board) announced that it has imposed an interim suspension of the CFP Board certification marks against Lee Giobbie, which is effective as of February 15, 2024.

Key Points: 
  • Certified Financial Planner Board of Standards, Inc. (CFP Board) announced that it has imposed an interim suspension of the CFP Board certification marks against Lee Giobbie, which is effective as of February 15, 2024.
  • After cooperating with Enforcement Counsel’s preliminary investigation, Mr. Giobbie consented to CFP Board entering an Interim Suspension Order against him.
  • Mr. Giobbie’s consent to entry of an Interim Suspension Order is grounds for an automatic Interim Suspension Order under Article 2.1.b.5.
  • An interim suspension is a suspension of a CFP® professional’s certification and trademark license during the pendency of CFP Board enforcement proceedings.

Cedar Fair Announces Expiration and Results of Consent Solicitation For its Outstanding Notes

Retrieved on: 
Thursday, November 9, 2023
Theme Parks, Entertainment, NYSE, Senior, Date, Statement, Person, Cedar Fair, Revocation, Debt-to-GDP ratio, Goldman Sachs, Note, Expiration, Amendment, Consent, Mergers and acquisitions, Solicitation, Expiration date, Security (finance), Property management, Indenture

The Consent Solicitation was made pursuant to the terms of and subject to the conditions set forth in the Consent Solicitation Statement, dated November 3, 2023 (the “Statement”).

Key Points: 
  • The Consent Solicitation was made pursuant to the terms of and subject to the conditions set forth in the Consent Solicitation Statement, dated November 3, 2023 (the “Statement”).
  • The Consent Solicitation expired at 5:00 p.m., New York City time, on November 9, 2023 (the “Expiration Date”).
  • As of the Expiration Date and according to information received by Global Bondholder Services Corporation, consents to the Proposed Amendments had been provided and not validly revoked by Holders of approximately 97.70% of the outstanding 2027 Notes, 94.44% of the outstanding 2029 Notes, 90.22% of the outstanding 2025 Notes and 97.90% of the outstanding 2028 Notes.
  • Goldman Sachs & Co. LLC was the solicitation agent in the Consent Solicitation and Global Bondholder Services Corporation served as the information, tabulation and paying agent.

CFP Board Imposes Interim Suspension on Rusty J. Whittaker of Austin, Texas

Retrieved on: 
Friday, August 25, 2023
Revocation, Certified Financial Planner Board of Standards, Failure, Code, Paul v British Columbia (Forest Appeals Commission), Finance, Ethics commission, Certification, District court, Motion, Felony, Civil Procedure Rules, DEC, Child, FINRA, Banking Codes and Standards Board of India, Montana District Courts, Respondent, Financial adviser, Property management, Standard, Conduct, Ethics

WASHINGTON, Aug. 25, 2023 /PRNewswire/ -- Certified Financial Planner Board of Standards, Inc. (CFP Board) announced that it has imposed an interim suspension of the CFP® certification against Rusty J. Whittaker, which is effective as of August 18, 2023.

Key Points: 
  • WASHINGTON, Aug. 25, 2023 /PRNewswire/ -- Certified Financial Planner Board of Standards, Inc. (CFP Board) announced that it has imposed an interim suspension of the CFP® certification against Rusty J. Whittaker, which is effective as of August 18, 2023.
  • On July 27, 2023, CFP Board Enforcement Counsel filed a Motion for Interim Suspension Order (Motion) pursuant to Article 2.1.a.1.
  • An interim suspension is a suspension of a CFP® professional's certification and trademark license during the pendency of CFP Board enforcement proceedings.
  • At that website, CFP Board provides the public with:
    The ability to check on any individual's CFP Board disciplinary history and CFP® certification status.

CFP Board Imposes Interim Suspension on Lisa A. Ditkowsky of Wilmette, Illinois

Retrieved on: 
Friday, June 16, 2023
Revocation, Certified Financial Planner Board of Standards, Failure, Code, Paul v British Columbia (Forest Appeals Commission), Finance, Ethics commission, Certification, Motion, Civil Procedure Rules, DEC, Hearing, FINRA, Banking Codes and Standards Board of India, Respondent, Financial adviser, Property management, Standard, Conduct, Ethics

WASHINGTON, June 16, 2023 /PRNewswire/ -- Certified Financial Planner Board of Standards, Inc. (CFP Board) announced that it has imposed an interim suspension of the CFP® certification against Lisa A. Ditkowsky, which is effective as of June 12, 2023.

Key Points: 
  • WASHINGTON, June 16, 2023 /PRNewswire/ -- Certified Financial Planner Board of Standards, Inc. (CFP Board) announced that it has imposed an interim suspension of the CFP® certification against Lisa A. Ditkowsky, which is effective as of June 12, 2023.
  • On May 4, 2023, CFP Board Enforcement Counsel filed a Motion for Interim Suspension Order (Motion) pursuant to Article 2.1.a.1.
  • An interim suspension is a suspension of a CFP® professional's certification and trademark license during the pendency of CFP Board enforcement proceedings.
  • An Interim Suspension Order is a temporary sanction and does not preclude CFP Board from imposing a final sanction.

CFP Board Imposes Interim Suspension on Brian R. Gilder of Beverly Hills, California

Retrieved on: 
Friday, April 28, 2023
Revocation, Certified Financial Planner Board of Standards, Failure, Code, Conspiracy, Paul v British Columbia (Forest Appeals Commission), Finance, Ethics commission, Certification, District court, Motion, Civil Procedure Rules, DEC, FINRA, Banking Codes and Standards Board of India, Douglas v. U.S. District Court ex rel Talk America, Respondent, Financial adviser, Property management, Standard, Conduct, Ethics

On March 24, 2023, CFP Board Counsel filed a Motion for Interim Suspension Order (Motion) pursuant to Article 2.1.a.1.

Key Points: 
  • On March 24, 2023, CFP Board Counsel filed a Motion for Interim Suspension Order (Motion) pursuant to Article 2.1.a.1.
  • An interim suspension is a suspension of a CFP® professional's certification and trademark license during the pendency of CFP Board enforcement proceedings.
  • A Respondent subject to an Interim Suspension Order must not use the CFP® certification marks or state or suggest that the Respondent is a CFP® professional while the Interim Suspension Order is in effect.
  • At that website, CFP Board provides the public with:
    The ability to check on any individual's CFP Board disciplinary history and CFP® certification status.

EQS-News: Epigenomics AG: Revocation of admission to the Prime Standard (sub-segment of the regulated market with additional post-admission obligations)

Retrieved on: 
Saturday, March 11, 2023
Frankfurt Stock Exchange, Prime Standard, Bank, General Standard, Revocation, ADR, OTCQX, American depositary receipt, Epigenomics AG, ISIN, Andrew Mellon, Epigenomics, Security (finance), Rare-earth element

The revocation becomes effective at the end of June 9, 2023.

Key Points: 
  • The revocation becomes effective at the end of June 9, 2023.
  • The admission to the regulated market ("General Standard") will remain in place so that trading (introduction) of the shares in the General Standard is expected to start on June 12, 2023.
  • As a result of the change of stock exchange segment, the additional post-admission obligations of the Prime Standard no longer apply.
  • These include, among others, the requirement to publish interim reports as of the reporting date of the 1st and 3rd quarters.

CFP Board Imposes Interim Suspension on John Poulos of Colleyville, Texas

Retrieved on: 
Tuesday, February 28, 2023
Code, Paul v British Columbia (Forest Appeals Commission), Finance, Civil Procedure Rules, Femicide, Motion, DEC, Banking Codes and Standards Board of India, Revocation, Certified Financial Planner Board of Standards, Respondent, Ethics commission, Certification, Failure, FINRA, Financial adviser, Property management, Ethics, Standard, Conduct

On January 27, 2023, CFP Board Counsel filed a Motion for Interim Suspension Order (Motion) pursuant to Article 2.1.a.1.

Key Points: 
  • On January 27, 2023, CFP Board Counsel filed a Motion for Interim Suspension Order (Motion) pursuant to Article 2.1.a.1.
  • Under the Interim Suspension Order, Mr. Poulos' right to use the CFP® certification marks is suspended pending CFP Board's completed investigation and possible further disciplinary proceedings.
  • An interim suspension is a suspension of a CFP® professional's certification and trademark license during the pendency of CFP Board enforcement proceedings.
  • At that website, CFP Board provides the public with:
    The ability to check on any individual's CFP Board disciplinary history and CFP® certification status.

CFP Board Imposes Interim Suspension on Kenwyn J. Belkot of Wexford, Pennsylvania

Retrieved on: 
Tuesday, February 28, 2023
Code, Paul v British Columbia (Forest Appeals Commission), Finance, Civil Procedure Rules, DEC, Banking Codes and Standards Board of India, Revocation, Certified Financial Planner Board of Standards, Respondent, Ethics commission, Financial Industry Regulatory Authority, Certification, Failure, FINRA, Financial adviser, Property management, Ethics, Standard, Conduct

An interim suspension is a suspension of a CFP® professional's certification and trademark license during the pendency of CFP Board enforcement proceedings.

Key Points: 
  • An interim suspension is a suspension of a CFP® professional's certification and trademark license during the pendency of CFP Board enforcement proceedings.
  • A Respondent subject to an Interim Suspension Order must not use the CFP® certification marks or state or suggest that Respondent is a CFP® professional while the Interim Suspension Order is in effect.
  • An Interim Suspension Order is a temporary sanction and does not preclude CFP Board from imposing a final sanction.
  • At that website, CFP Board provides the public with:
    The ability to check on any individual's CFP Board disciplinary history and CFP® certification status.