Tagged with "CFP"

CFP Board Suspends Oklahoma Planner Gregory Womack

Posted on November 17th, 2022 at 1:20 PM
CFP Board Suspends Oklahoma Planner Gregory Womack

The Certified Financial Planner Board of Standards (CFP Board) has issued an interim suspension to Gregory Womack, who operates Womack Investment Advisors in Edmond, Oklahoma.

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CFP Board Lifts Interim Suspension of Former UBS Advisor

Posted on September 23rd, 2022 at 1:30 PM
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

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CFP Board Releases New Ethical Guides For Financial Planners

Posted on March 18th, 2022 at 1:39 PM
CFP Board Releases New Ethical Guides For Financial Planners

The Certified Financial Planner Board of Standards (CFP Board) has recently issued three new guides to assist certified financial planners in adhering to professional ethics standards in their practices.

 
 
 

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CFP Board Establishes New Appeals Commission

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

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.

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Kamila Elliot Prepared To Make History As First Black CFP Board Chair

Posted on January 13th, 2022 at 12:38 PM
Kamila Elliot Prepared To Make History As First Black CFP Board Chair

The first Black woman to head the CFP Board, Kamila Elliot, officially assumed her position from former CFP Board Chair Douglas King on January 1.

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CFP Board Strengthens Sanctions for Self-Reporting Failures

Posted on November 18th, 2021 at 1:16 PM
CFP Board Strengthens Sanctions for Self-Reporting Failures

The CFP Board has revised the degree of sanctions a CFP can receive if they fail to “timely report” potential misconduct, according to a CFP Board announcement.

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A Tale of Two Disclosure Obligations for CFPs

Posted on October 20th, 2020 at 9:12 AM
A Tale of Two Disclosure Obligations for CFPs

As part of the new CFP Board Code of Ethics & Standards of Conduct, CFP professionals’ obligations differ depending on whether they are simply providing financial advice or are engaging in “financial planning.”

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Relationships Covered by the CFP Board Code and the SEC’s Reg B-I

Posted on September 1st, 2020 at 3:00 PM
Relationships Covered by the CFP Board Code and the SEC’s Reg B-I

This is the seventh of several posts discussing the similarities and differences of the SEC’s recently-implemented Regulation Best Interest (“Reg. B-I”) and the CFP Board’s Code of Ethics and Standards of Conduct. In this post, we will look at which relationships are covered by the CFP Board Code and Reg. B-I.

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CFP Board Compares its Duty of Loyalty to the SEC’s Reg B-I

Posted on August 4th, 2020 at 9:15 AM
CFP Board Compares its Duty of Loyalty to the SEC’s Reg B-I

This is the third of several posts discussing the similarities and differences of the SEC’s recently-implemented Regulation Best Interest (“Reg. B-I”) and the CFP Board’s Code of Ethics and Standards of Conduct. In this post, we will look at the duty of loyalty required by the CFP Board and Reg B-I.

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CFP Exam Postponed until September

Posted on May 4th, 2020 at 5:20 PM
CFP Exam Postponed until September

Due to COVID-19, the CFP Certification Exam, which had been set to take place in July, has been postponed until September.  The exam is now scheduled for September 22-29.  Individuals who were scheduled to take the July exam will receive an email by May 31 with instructions on how to reschedule their testing appointment.

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LATEST NEWS AND ARTICLES

March 24, 2023
Heartland Bank & Trust Co. Agrees to $9 Million Settlement For Allegedly Aiding and Abetting a Ponzi Scheme

The Securities and Exchange Commission (SEC) has agreed to a $9 million settlement
with Heartland Bank & Trust Co. over the bank’s alleged role in aiding and abetting a $75
million Ponzi scheme.

March 23, 2023
Morgan Stanley Obtains TRO Against Pennsylvania LPL Advisor Over Inherited Accounts and Misrepresentations

A federal judge has awarded Morgan Stanley a temporary restraining order (TRO)
against a Pennsylvania-based advisor who recently departed for LPL Financial.

March 22, 2023
Sanford Bernstein & Co. and Alliance Bernstein Face FINRA Arbitration Claim Over Options Advantage Strategy

Sanford Bernstein & Co. and Alliance Bernstein (Bernstein) are facing what could be the first of several Financial Industry Regulatory Authority (FINRA) arbitration claims related to its Options Advantage Strategy.