File a Complaint
If you believe that a CFP® professional has violated the Code of Ethics and Standards of Conduct and would like to report the alleged misconduct, you may submit a complaint form to CFP Board’s Enforcement Department. CFP Board invites complaints from CFP® professionals, other industry professionals, clients of CFP® professionals, and anyone else.
FILE A COMPLAINT
Please report your complaint in as much detail as possible. CFP Board staff will request additional information and documentation if needed and may request a personal interview if it appears necessary. Your complaint will be investigated if CFP Board determines that the allegations concern a potential violation of CFP Board’s Code of Ethics and Standards of Conduct.
Please note that pursuant to Article 17.9 of CFP Board’s Procedural Rules, CFP Board Counsel shall provide notice every 6 months to any individual who filed a complaint against a CFP® professional notifying the individual that their complaint remains under review or investigation. When an individual’s complaint is dismissed or finally adjudicated, CFP Board Counsel will notify the individual that a public sanction has or has not been issued.
File by Mail
Open, print and complete the printable complaint form (PDF, 24KB). Mail the completed form to:
Certified Financial Planner Board of Standards, Inc.
ATTN: Professional Standards Department
1425 K Street NW #800
Washington, DC 20005
File by Fax or Email
You may also send via fax to 202-379-2299 or email to firstname.lastname@example.org