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 Faith Krueger, CFP® ||Disciplinary Hearing: January 16, 2019 |
|FPSC and Dan Vivian Wang ||Disciplinary Hearing: January 24, 2019 |
|FPSC and Scott Ford |
|Penalty Hearing: February 7, 2019 |
|* This schedule is provided for public information and is subject to change. |