CFP Board Announces 2009 Chair of Disciplinary and Ethics Commission

Certification Updates

CFP Board Announces 2009 Chair of Disciplinary and Ethics Commission

Jan 26, 2009

WASHINGTON, January 26, 2009—The Board of Directors of Certified Financial Planner Board of Standards, Inc. (CFP Board), the non-profit certifying and standards-setting organization that oversees more than 58,000 financial professionals holding the CERTIFIED FINANCIAL PLANNER™ certification, has announced the 2009 Chair and two new members to its Disciplinary and Ethics Commission.

The nine-member Commission conducts disciplinary hearings three times a year and is responsible for interpreting and applying CFP Board’s Standards of Professional Conduct and, when necessary, imposing appropriate discipline in cases involving CFP® certificants.

Jack C. Harmon Sr., CFP® has been named Chair of the Disciplinary and Ethics Commission. Harmon, the founder of Harmon Financial Advisors in Atlanta, GA., has a long involvement in personal financial planning issues. He was founding Chair of the inter-industry group formed to establish generally accepted financial planning principles which were developed into CFP Board’s Financial Planning Practice Standards. He is the founding president of the Georgia Society of the Institute of Certified Financial Planners and has been a CFP Board director and Chair of CFP Board’s Board of Examiners, which became the Council on Examinations in 2007. Harmon has also been widely recognized by the media, having been named to Barron’s “Top 100 Independent Advisors” list in 2007 and 2008, Research magazine’s “Top Advisor Teams” list in 2007 and 2008, and Worth magazine’s “Best Financial Advisors” list for six years.

Two new members named to the Commission through 2012 are Robert Fleming, Esq., President of Fleming & Curti, PLC, of Tucson, AZ., and President of the National Elder Law Foundation and Martin Siesta, CFP®, founding principal of Compass Wealth Management, of Maplewood, NJ. Fleming is the first non-CFP® certificant to serve on the Commission.

“We are fortunate to have as Commission Chair someone who is as dedicated to our profession and widely respected in our community as Jack Harmon,” said CFP Board CEO Kevin R. Keller, CAE. “It is also noteworthy that the Commission for the first time includes a non-certificant, Robert Fleming, who is a respected professional familiar with the workings of the financial services industry. The broad representation on Commission ensures that our enforcement process is both fair to certificant and credible to the public.”

“I look forward to my term as Chair of the Disciplinary and Ethics Commission, which plays a vital role in ensuring that the CFP® marks continue to be recognized as the standard of excellence and ethical behavior for personal financial planning,” said Harmon. “Our work is more relevant than ever to the financial well-being of the American public, which will benefit from our efforts to uphold the highest ethical standards in financial planning.”

About CFP Board: The mission of Certified Financial Planner Board of Standards, Inc. is to benefit the public by granting the CFP® certification and upholding it as the recognized standard of excellence for personal financial planning. The Board of Directors, in furthering CFP Board’s mission, acts on behalf of the public, CFP® certificants and other stakeholders. CFP Board owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements. CFP Board currently authorizes more than 58,000 individuals to use these marks in the United States. For more about CFP Board, visit

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CFP® - The Recognized Standard of Excellence in Personal Financial Planning

Chris Wloszczyna, Director of Public Relations
CFP Board
P: 202-379-2252