CFP Board Establishes New Appeals Commission

Posted on January 21st, 2022 at 1:39 PM
CFP Board Establishes New Appeals Commission

From the Desk of Jim Eccleston at Eccleston Law:

The Certified Financial Planner (CFP) Board of Standards has established a new Appeals Commission. As the name suggests, the Appeals Commission possesses the sole authority to adjudicate appeal hearings. Who comprises this select body?

The CFP Board has appointed five inaugural members to serve on the Appeals Commission. The Board has selected Denny Crawford, Shelly-Ann Eweka, Susan MacMichael John, Gary Strickland and Jeffrey Weekes, none of whom sit on the CFP Board’s Board of Directors. The five inaugural members of the Appeals Commission will begin serving on February 1, 2022. 

Although the CFP Board updated its Procedural Rules to create the new Appeals Commission, the current procedures and standard of review for adjudicating appeals will remain unchanged. Nevertheless, the new Appeals Commission will take on responsibility for adjudication of appeal hearings, which was previously handled by the Board’s Code and Standards Enforcement Committee. The new Appeals Commission will issue CFP Board’s final decision when a registrant appeals a final order of the Disciplinary and Ethics Commission (DEC) or an Administrative Order. 

Eccleston Law LLC represents investors and financial advisors nationwide in securities, employment, regulatory and disciplinary matters, including CFP Board Matters. 

Tags: eccleston, eccleston law, cfp, new commission

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