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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 Edward Rempel, CFP®
Disciplinary Hearing: April 19, 2018  
FPSC and Kevin Cahill, CFP®      Penalty Hearing: April 23, 2018  
FPSC and Einar Lisborg, CFP®   Disciplinary Hearing: April 25, 2018 
FPSC and Paul J. Lauzon, CFP®  Penalty Hearing: May 15, 2018  
FPSC and Peter R. McLaughlin, CFP®  Disciplinary Hearing: June 1, 2018  
FPSC and James G. Carney, CFP®  Disciplinary Hearing: June 28, 2018   
* 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)