According to InvestmentNews, the Securities Industry and Financial Markets Association (SIFMA) released a whitepaper criticizing the Certified Financial Planner (CFP) Board’s standards enforcement, asserting it operates as a “de facto, private
regulator.”
The CFP Board has revealed that it will release the Disciplinary and Ethics Commission (DEC) orders imposing sanctions alongside the public sanction news releases that it already publicizes.
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.
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.
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.
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.
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.
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
A former Wells Fargo senior private client financial advisor in Wisconsin has filed a federal lawsuit alleging the firm terminated him because of his age rather than an alleged workplace profanity incident.
Starwood Real Estate Income Trust (SREIT) has announced a temporary suspension of its share repurchase program for most investors.
The Securities and Exchange Commission (SEC) has filed a civil action against a California day trader accused of operating a $43 million Ponzi-like scheme that allegedly defrauded more than 400 investors.
