Reports on Disciplinary Actions
In accordance with FPSC's Disciplinary Rules and Procedures, all complaints made against CFP® professionals are investigated by the Director, Ethics and where appropriate, referred to the Ethics and Practice 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 Ethics and Practice 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
are certification marks owned outside the U.S. by Financial Planning Standards Board Ltd. (FPSB).
Financial Planning Standards Council is the marks licensing authority for the CFP marks in Canada, through agreement with FPSB.
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