Tagged with "penalities"

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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LATEST NEWS AND ARTICLES

June 9, 2023
Retrospective Review Deadline Approaching

The deadline for completing the initial retrospective review required by the Department of Labor (DOL) is quickly approaching.

June 8, 2023
Former David Lerner Branch Manager Receives FINRA Sanctions for Supervisory Lapses

The Financial Industry Regulatory Authority (FINRA) imposed a one-month suspension and a $5,000 fine on former David Lerner Associates branch manager Rande Aaronson.

June 7, 2023
SEC Files Fraud Charges Against Financial Advisor for Exploiting Elderly Clients

The Securities and Exchange Commission (SEC) has charged Douglas McKelvey, a former Morgan Stanley financial advisor, with fraud for misappropriating more than $1.7 million from two elderly customers who were his close relatives.