Reports on Disciplinary Actions
In accordance with FPSC's Disciplinary Rules and Procedures, all complaints made against CFP® professionals are investigated by Enforcement Counsel and where appropriate, referred to the Enforcement Policy Committee for a formal disciplinary hearing. The objectives of this process include the protection of the public and the protection of the reputation of the profession.
In each case, a Hearing Panel comprised of a member of the Enforcement Policy Committee and two additional volunteers from the CFP professional community is formed to hear the case and to make a determination of whether or not there has been a breach of the CFP Code of Ethics. Where there is a finding of a breach of the Code, a range of sanctions can be imposed upon the CFP professional up to and including the permanent revocation of the right to use the CFP marks.
Report on Disciplinary Actions - 2009
Report on Disciplinary Actions - 2008
Report on Disciplinary Actions - 2007
Report on Disciplinary Actions - 2006
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