Terms of Use | Anonymous Case Histories | CFP Board

For CFP® Professionals


Terms of Use

CFP Board’s Anonymous Case History documents provide summaries of actual cases that have been reviewed since November 2007 by CFP Board’s Disciplinary and Ethics Commission (Commission), the group charged with conducting disciplinary hearings in accordance with CFP Board’s Disciplinary Rules and Procedures and, when appropriate, imposing disciplinary action against CFP® certificants.

These documents are made available to share information about CFP Board’s enforcement process and interpretation of the ethical and practice standards contained in CFP Board’s Standards of Professional Conduct (Standards). It is CFP Board’s hope that these documents will allow CFP® certificants and others to identify specific types of activities that CFP Board deems are not in compliance with the Standards. The Anonymous Case History documents may also be useful in determining whether a proposed offer of settlement in a case before the Commission is appropriate, given the precedent of past decisions made by the Commission.

The Commission reviews all cases on a case-by-case basis, taking into account the details specific to an individual case. While CFP Board has attempted to capture the details relevant to each decision, the summary nature of the Anonymous Case History documents may omit certain details affecting the decision. Accordingly, the decisions and/or rationale described in the Anonymous Case History documents may not apply to other cases reviewed by the Commission or reflect the Commission’s future interpretation or application of the Standards.

Terms of Use

CFP Board presents the Anonymous Case History documents as a service to CFP® certificants and other Internet users. By using this service, I attest that I understand and agree that while the information on this site may address legal issues, it is not legal advice. I also understand and agree that under no circumstances shall CFP Board be liable for any direct, indirect, incidental, special, punitive or consequential damages that result in any way from my use of or reliance upon any information accessible through this service.

Center For Financial Planning | Logo | Gold

The Center's focus includes workforce development, diversity, and the profession's body of knowledge.

Learn More

Reach New Clients

CFP Board’s “Find a CFP® Professional” online search tool can help you connect with Americans seeking professional financial planning services.

Update Your Profile Today


More than 1,000 CE Sponsors have registered with CFP Board to provide continuing education.

Find CE Opportunities