Online Complaint Form

Report Misconduct

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Online Complaint Form

NEW CODE OF ETHICS AND STANDARDS OF CONDUCT NOW EFFECTIVE

The new Code and Standards became effective Oct. 1, 2019, and includes a range of important changes, including expanding the scope of the fiduciary standard that requires CFP® professionals to act in the best interest of the client at all times when providing financial advice.

The enforcement date for the new Code and Standards is June 30, 2020. For conduct that occurs between October 1, 2019 and June 29, 2020, CFP Board will continue to enforce violations of the previous Standards of Professional Conduct. Starting June 30, 2020 and onward, CFP® professionals will then be subject to potential disciplinary action for any violations of the new Code and Standards.

Learn More

Please report your complaint in as much detail as possible. CFP Board staff will request additional information if needed and may request a personal interview if it appears necessary. Because one of the functions of CFP Board is the evaluation of grievances, please be assured that your grievance will be investigated vigorously and impartially.

Please be aware that pursuant to CFP Board’s confidentiality provisions as outlined in Article 17.1 of CFP Board’s Disciplinary Rules and Procedures, CFP Board is not able to share any updates on the status of the investigation with you.


 
* REQUIRED

Contact Information for the CFP® Professional Your Complaint Is Against

Your Contact Information

(CFP Board will accept an anonymous complaint. It is often the case, however, that preserving a complainant's anonymity may result in CFP Board not being able to conduct a full investigation. To submit an anonymous complaint, enter “Anonymous” for your first and last name.)

Your Complaint

Please describe your complaint and the reasons you believe a violation of CFP Board’s Standards of Professional Conduct occurred.
B. Did the CFP® professional provide you with some type of disclosure document, which described the forms of compensation, potential or real conflicts of interest, services provided, agency or employment relationships and the philosophy or operating methods employed?

C. Did you pay a fee to the CFP® professional?

D. Did you sign a written contractual agreement?

E. Have you notified any regulatory authorities in connection with your complaint?

F. Have you begun legal action against this individual?


Upload Documentation

Please upload documentation supporting your complaint, including, where appropriate:

  • Completed Consent to Release Documents to CFP Board.
  • A copy of any written contractual agreement with the CFP® professional.
  • A copy of any disclosure document provided to you, which describes the CFP® professional’s forms of compensation, potential or real conflicts of interest, services provided, agency or employment relationships and the philosophy or operating methods employed.
  • A copy of your Complaint and any other relevant legal pleadings/correspondence.

To upload documentation using the tool below, the documentation must be uploaded as a single document in Word or PDF format. (If you have multiple documents that cannot be combined, please send them to CFP Board by email, fax or mail.)


Consent to Release Documents to CFP Board

After you submit this complaint form, please fill out and sign the Consent to Release Documents to CFP Board form indicating your willingness to authorize relevant financial institutions to release your financial records and other relevant documents concerning this complaint to CFP Board. Failure to provide a Consent form may limit our ability to gather sufficient evidence in which to evaluate this matter. Please submit your signed Consent form by email to compliance@cfpboard.org , by fax to 202-379-2299 (no cover needed), or by mail to: CFP Board, Attn: Professional Standards, 1425 K Street NW #800, Washington, DC, 20005

Download the Consent Form


Acknowledgement

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