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Enforcement Notices

Enforcement Notices 

Where the Conduct Review Panel has referred a matter to a Disciplinary Hearing, a Hearing Panel is convened to consider allegations of professional misconduct. Hearing Panels consist of three members and include, at a minimum, two CFP® professionals. In accordance with the Disciplinary Rules and Procedures (DRP), where a  CFP professional or FPSC Level 1® Certificant in Financial Planning is found to have breached the Standards of Professional Responsibility, the Hearing Panel may order discipline sanctions range from a letter of admonishment to suspension or revocation of certification. 

Name of Parties

Format & Date of Hearing

FPSC and Mary McMahon, FPSC Level 1® Certificant   Disciplinary Hearing: September 20, 2018  
FPSC and Scott Ford  Disciplinary Hearing: October 23, 2018 
FPSC and Peter R. McLaughlin, CFP®   Decision on Penalty pending 
FPSC and Kevin Cahill, CFP® Decision on Appeal pending
* This schedule is provided for public information and is subject to change.


December 11, 2015 (Conduct Hearing; to be conducted in writing)

January 21, 2016 (Conduct Hearing; to be conducted in writing)