Tagged with "CFP Board"

CFP Board Issues 17 Sanctions in its Recent Round of Disciplinary Actions

Posted on July 21st, 2022 at 12:55 PM
CFP Board Issues 17 Sanctions in its Recent Round of Disciplinary Actions

The Certified Financial Planner Board of Standards (CFP Board) recently issued sanctions against 17 CFP professionals for a host of violations, including attempting to cheat on the CFP exam, failing to pay taxes, and stealing reward points from an employer’s credit card.

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CFP Board Suspends Advisor Over Improper GWG Bond Sales

Posted on July 14th, 2022 at 12:25 PM
CFP Board Suspends Advisor Over Improper GWG Bond Sales

The Certified Financial Planner Board of Standards Inc. (CFP Board) has issued an interim suspension against Patrick Egan, who is an advisor at Western International Securities, a firm recently charged by the SEC for violating Regulation Best Interest (Reg BI).

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CFP Board Recommends Harsher Penalties For Not Disclosing Misconduct

Posted on August 5th, 2021 at 1:47 PM
CFP Board Recommends Harsher Penalties For Not Disclosing Misconduct

The Certified Financial Planner Board of Standards Inc. has proposed to increase the penalties for CFP certificants who fail to disclose their own ethical misconduct.

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CFP Board Considers Tougher Standards To Look Better to the Public

Posted on February 4th, 2021 at 9:30 AM
CFP Board Considers Tougher Standards To Look Better to the Public

In its quest to become a regulator for financial planners and others. CFP Board has announced the formation of another new committee tasked with reviewing and updating its sanction guidelines and fitness standards.

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CFP Board Enforcement Process: Appeals

Posted on September 14th, 2020 at 3:13 PM
CFP Board Enforcement Process: Appeals

This is the thirteenth of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s procedure for appeals.

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CFP Board Enforcement Process: Resolution of Petitions for Reinstatement Following Order of Suspension of More than One Year

Posted on September 8th, 2020 at 11:06 AM
CFP Board Enforcement Process: Resolution of Petitions for Reinstatement Following Order of Suspension of More than One Year

This is the twelfth of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s procedure regarding resolution of a Petition for Reinstatement following order of suspension of more than one year.

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CFP Board Enforcement Process: Resolution of Petitions for Fitness Determination

Posted on August 31st, 2020 at 12:54 PM
CFP Board Enforcement Process: Resolution of Petitions for Fitness Determination

This is the eleventh of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s procedure regarding resolution of a Petitions for Fitness Determination.

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

Posted on August 25th, 2020 at 1:48 PM
Recommendations Covered by the CFP Board Code and the SEC’s Reg B-I

This is the sixth 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

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CFP Board Enforcement Process: Resolution of Complaints

Posted on August 24th, 2020 at 2:58 PM
CFP Board Enforcement Process: Resolution of Complaints

This is the tenth of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s procedure regarding resolution of complaints.

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CFP Professionals Under Investigation Need Attorney Representation

Posted on August 19th, 2020 at 3:49 PM
CFP Professionals Under Investigation Need Attorney Representation

As we have discussed in a previous Eccleston Law post, the CFP Board has the authority to conduct an investigation of a CFP professional.

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LATEST NEWS AND ARTICLES

September 23, 2022
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.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.