Securities and Exchange Commission’s (SEC) Investment Adviser Public Disclosure databases, which are free tools that may be used to conduct research on the background and experience of CFP® professionals who are subject to FINRA or SEC oversight, including with respect to employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints.ĬFP Board’s enforcement process is a critical consumer protection. The public may check on an individual’s disciplinary history and certification status with CFP Board at That website also provides links to FINRA’s BrokerCheck and the U.S. The basis for each decision can be found in the Disciplinary Action Report below and on CFP Board’s website. Of these actions, there are nine public censures, one suspension, one administrative suspension, one administrative revocation, and one administrative permanent bar. This release contains information about recent disciplinary actions relating to 13 current or former CFP® professionals. Public disciplinary actions taken by CFP Board, in order of increasing severity, include public censures, suspensions and permanent revocations. (CFP Board) announced today public disciplinary actions against the following individuals, effective immediately or on the date noted in each case. Certified Financial Planner Board of Standards, Inc.
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