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.  

2017 Members

Jack Harmon, Jr., CFP®
Harmon Financial Advisors
Atlanta, GA

Lance Cholet, CFP®
New York, NY

Gayle Colman, CFP®
Colman Knight Advisory Group, LLC
Carlisle, MA

Cheryl Costa, CFP®
Woodside Wealth Management
Framingham, MA

Shelly-Ann Eweka, CFP® 
Denver, CO

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

Chun Lee, CFP®
LPL Financial
Edmonds, WA

Richard Vanderheiden, Esq.
Scottsdale, 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.