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.

Read More »

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).

Read More »

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.

Read More »

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.

Read More »

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.

Read More »

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.

Read More »

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.

Read More »

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

Read More »

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.

Read More »

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.

Read More »

TESTIMONIALS

Previous
Next

We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.

Allan and Adele

LATEST NEWS AND ARTICLES

January 31, 2023
Former LPL Advisor Receives 8-Year Prison Sentence For Misappropriation of Client Funds

A former LPL financial advisor recently was sentenced to more than eight years in prison, or 100 months, for his role in a scheme that misappropriated $2.8 million from six clients. 

January 30, 2023
Silvergate Shares Skyrocket Amidst FTX Meltdown

Silvergate Capital share prices increased after the company announced its fourth-quarter results, even after FTX’s collapse, which forced Silvergate to fire staff and sell assets.

January 27, 2023
SEC Files Suit Against Gemini and Genesis Over Crypto “Earn” Program

The Securities and Exchange Commission (SEC) has filed suit against two crypto brokerages, Genesis Global Capital and Gemini Trust Co., for breaching federal securities laws.