Disciplinary and Ethics Commission - CFP Board

About CFP Board


Disciplinary and Ethics Commission

The Disciplinary and Ethics Commission is charged with the duty of reviewing and taking appropriate action with respect to alleged violations of the Code of Ethics and Rules of Conduct, alleged non-compliance with the Financial Planning Practice Standards and conduct reviewed pursuant to the Fitness Standards for Candidates and Professionals Eligible for Reinstatement.  

For conduct that occurs between October 1, 2019 and June 29, 2020, CFP Board will continue to enforce violations of the 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 of Ethics and Standards of Conduct that became effective October 1, 2019.

2020 Members


Angela Coleman, CFP®
Unified Trust Company, N.A.
Lexington, KY

Keith Barberis, CFP®
Steward Partners Global Advisory
Bethesda, MD

Ty Bilderback, CFP®
Merrill Lynch
Greensboro, NC

Shelly-Ann Eweka, CFP®
Denver, CO

Kim Hayes, CFP® 
Wassell & Reed, Inc.
Overland Park, KS

Harvey A. Hutchinson, CFP® 
Welch Hornsby, Inc
Birmingham, AL

Karen Keatley, CFP® 
Keatley Wealth Management, LLC
Charlotte NC

Chun Lee, CFP®
LPL Financial
Edmonds, WA

Sue Rogan
CASH Campaign of Maryland
Baltimore, MD

Gary Strickland, Esq.
Warner Angle Hallam Jackson & Formanek PLC
Phoenix, AZ

Jeffrey Weekes, CFP®
Morgan Stanley Wealth Management
Stroudsburg, PA

Stephanie King, CFP®
Charles Schwab
Phoenix, AZ

Interested in contributing to CFP Board's work through service on the Disciplinary and Ethics Commission or other important advisory and working groups?  Submit a volunteer application.

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Did You Know?

Among clients who work with an advisor, 87% of those working with a CFP® professional are satisfied or very satisfied, compared with 72% of those who work with an advisor without certification.
Anyone can call themselves a “financial planner.” Only professionals who meet CFP Board’s rigorous standards can call themselves CERTIFIED FINANCIAL PLANNER™ professionals.
The 2013 Household Financial Planning Survey shows that those with a financial plan feel more confident and report more success managing money, savings and investments than those without a plan.