Tagged with "CFP Board"

CFP Board Faces Criticism for Omitting Key Disclosures from Public Search Tool

Posted on August 21st, 2025 at 3:55 PM
CFP Board Faces Criticism for Omitting Key Disclosures from Public Search Tool

The CFP Board promotes its certificants as the “most trusted” financial professionals and directs consumers to its LetsMakeAPlan.org search tool. However, a Financial Planning analysis reveals a significant gap between the Board’s records and those maintained by FINRA’s BrokerCheck database.

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CFP Board Announces Certification Fee Increase

Posted on June 10th, 2025 at 10:52 AM
CFP Board Announces Certification Fee Increase

The CFP Board of Directors has approved a $120 increase to the annual certification fee for CFP® professionals, raising the total to $575.

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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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LATEST NEWS AND ARTICLES

October 15, 2025
SEC Accuses Florida Insurance Agent of $52 Million Unregistered Securities Scheme

The U.S. Securities and Exchange Commission (SEC) has filed a complaint against Florida insurance agent Charles D. Oliver, alleging he illegally sold about $52 million in unregistered oil and gas securities to roughly 50 retail investors, including retired seniors.

October 14, 2025
Morgan Stanley's Termination of Financial Advisor Highlights Scrutiny Over U-5 Filings

Morgan Stanley recently terminated a 25-year industry veteran in Miami, underscoring the heightened scrutiny surrounding U-5 filings and the challenges that accompany them.

October 13, 2025
Morgan Stanley Cuts Advisor Deferrals in 2026 Compensation Plan, Boosting Advisor Payouts

Morgan Stanley Wealth Management announced a significant change to its 2026 compensation plan, cutting advisor deferral rates by half while keeping total pay and grid structures largely unchanged.