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CFP Board Urges SEC to Develop Improved Disclosure Requirements
https://www.cfp.net/news-events/announcements/2012/03/23/cfp-board-urges-sec-to-develop-improved-disclosure-requirements

... comment letter to the Securities and Exchange Commission (SEC), CFP Board urged the SEC to develop improved pre-engagement disclosure requirements, also noting that full protection requires investment advice to be provided under a uniform fiduciary standard of conduct. Read CFP Board’s letter ...

SEC Request for Comments on Improving Disclosures to Investors
https://www.cfp.net/news-events/announcements/2012/03/23/sec-request-for-comments-on-improving-disclosures-to-investors

... comment letter to the Securities and Exchange Commission ("SEC") in response to its request for comment regarding methods to improve disclosures to investors. CFP Board urged the SEC to develop a set of improved pre-engagement disclosure requirements, similar to those in place for investment advisers ...

Financial Planning Coalition Launches New Website to Inform and Engage Stakeholders for Legislative, Regulatory Advocacy
https://www.cfp.net/news-events/latest-news/2014/07/21/financial-planning-coalition-launches-new-website-to-inform-and-engage-stakeholders-for-legislative-regulatory-advocacy

... designed to engage stakeholders in the Coalition’s efforts to educate lawmakers, regulators and consumers on critical investor protection measures needed to ensure financial planning services are delivered in the public’s best interests. The new website – located at www.FinancialPlanningCoalition.com ...

CFP Board Urges Better Disclosures, Clearer Language for Investors
https://www.cfp.net/news-events/latest-news/2012/03/26/cfp-board-urges-better-disclosures-clearer-language-for-investors

... in a letter sent to the Securities and Exchange Commission in connection with the SEC’s study on financial literacy among investors. “We believe that investor education, including timely and effective disclosures, is important to the protection of investors, regardless of who is providing the advice,” ...

Financial Planning Coalition Shares With Congress new Poll Demonstrating Strong Public Support for Financial Planning Standards in Upcoming Regulation Bill
https://www.cfp.net/news-events/latest-news/2010/02/16/financial-planning-coalition-shares-with-congress-new-poll-demonstrating-strong-public-support-for-financial-planning-standards-in-upcoming-regulation-bill

... sent a letter to the U.S. Senate Committee on Banking, Housing, and Urban Affairs announcing results of new poll indicating overwhelming public support for higher standards for financial planning. The Coalition continued to urge the Committee to include regulation of financial planners as part of ...

CFP Board Censures Improper CFP® Certificant Conduct
https://www.cfp.net/news-events/latest-news/2003/07/03/cfp-board-censures-improper-cfp-certificant-conduct

... Springs Letter of Admonition Florida Matthew E. Marone St. Petersburg Letter of Admonition New Jersey Jack A. Moloney Hoboken Letter of Admonition New York Arthur W. Tuttle Nanuet Letter of Admonition North Carolina John K. Toupin Franklin Revocation Michigan Harold ...

CFP Board Censures Improper CFP® Certificant Conduct
https://www.cfp.net/news-events/latest-news/2004/04/19/cfp-board-censures-improper-cfp-certificant-conduct

... that he engaged in selling away and that he had not disclosed his professional suspension within 10 days, as required. Public Letters of Admonition FLORIDA William F. Perkins (Tarpon Springs): In November 2003, CFP Board issued Mr. Perkins a public letter of admonition after its investigation of two ...

Financial Planning Coalition Opposes H.R. 2374: “Investor Protection Bill in Name Only”
https://www.cfp.net/news-events/latest-news/2013/10/28/financial-planning-coalition-opposes-h.r.-2374-investor-protection-bill-in-name-only-

Letter to Congress Urges Opposition to Bill that will Impede the Implementation of a Fiduciary Standard In a letter sent today to all Members of Congress, the Financial Planning Coalition urges them to oppose H.R. 2374, the Retail Investor Protection Act, which would inappropriately delay, or even ...

CFP Board Censures Improper CFP® Certificant Conduct
https://www.cfp.net/news-events/latest-news/2006/10/02/cfp-board-censures-improper-cfp-certificant-conduct

... Portland Letter of Admonition Pennsylvania Thomas C. Hock Schnecksville Letter of Admonition South Carolina Christopher E. Cabri Charleston Letter of Admonition Wisconsin Kelly L. Diestler Oneida Suspension Public disciplinary actions taken by CFP Board, in order of decreasing ...

CFP Board Censures Improper CFP® Certificant Conduct
https://www.cfp.net/news-events/latest-news/2003/04/15/cfp-board-censures-improper-cfp-certificant-conduct

... Tampa Letter of Admonition Indiana Deborah E. Romary Fort Wayne Letter of Admonition North Carolina Leon E. Abbas Cary Suspension New Jersey Michael J. Spillert Parsippany Letter of Admonition New York Harry W. Linindoll III East Greenbush Letter of Admonition South ...

Certified Financial Planner Board of Standards Censures Improper CFP™ Certificant Conduct
https://www.cfp.net/news-events/latest-news/2002/05/07/certified-financial-planner-board-of-standards-censures-improper-cfp-certificant-conduct

... Beach Letter of Admonition Illinois Roger A. Householder Park Ridge Revocation Kentucky Brian A. Guilliom Louisville Letter of Admonition Michigan Kenneth M. Harb Livonia/West Bloomfield Suspension Minnesota Michael P. Kaselnak Rochester Letter of Admonition ...

CFP Board Censures Improper CFP® Certificant Conduct
https://www.cfp.net/news-events/latest-news/2007/01/30/cfp-board-censures-improper-cfp-certificant-conduct

... Heights Letter of Admonition Michigan John R. Hantz Southfield Letter of Admonition Carl P. Kellogg Ada Permanent Relinquishment Missouri Christopher J. Jacob St. Louis Letter of Admonition New Jersey Robert M. Ryerson Freehold Letter of Admonition New York Frank ...

CFP Board Censures Improper CFP® Certificant Conduct
https://www.cfp.net/news-events/latest-news/2005/02/14/cfp-board-censures-improper-cfp-certificant-conduct

... Beach Letter of Admonition Gwendolyn Biggs Sacramento Letter of Admonition Steven E. Fairchild Gold River Letter of Admonition Terry L. Jones Costa Mesa Letter of Admonition W. Aubrey Morrow San Diego Letter of Admonition Mark D. Romano Lakewood Revocation ...

CFP Board Censures Improper CFP® Certificant Conduct
https://www.cfp.net/news-events/latest-news/2006/01/27/cfp-board-censures-improper-cfp-certificant-conduct

... Glendale Letter of Admonition Colorado Norman P. Rounds Boulder Revocation Louis W. Welt Boulder Suspension Florida Robert J. Yarbrough Ormond Beach Letter of Admonition Georgia James S. Quay Atlanta Revocation Ohio Robert E. Messinger Cincinnati Letter of Admonition ...

CFP Board Censures Improper CFP® Professional Conduct
https://www.cfp.net/news-events/latest-news/2012/02/15/cfp-board-censures-improper-cfp-professional-conduct

... Rock Letter of Admonition Connecticut Kyle Egress, CFP® West Hartford Letter of Admonition Florida Sandee G. Tanner Brooksville Revocation Florida Christopher F. Wendland, CFP® Fort Myers Letter of Admonition Illinois Miyoung Yook, CFP® Northbrook Letter ...

Certified Financial Planner Board of Standards Censures Improper CFP® Certificant Conduct
https://www.cfp.net/news-events/latest-news/2002/12/12/certified-financial-planner-board-of-standards-censures-improper-cfp-certificant-conduct

... Fauth engaged in the unauthorized use of the CFP marks by representing himself as a CFP certificant on a Web site approximately two years prior to applying for CFP certification. In mitigation, the Board found that Mr. Fauth disclosed the NYSE matter to CFP Board. LETTERS OF ADMONITION The following ...

CFP Board Censures Improper CFP® Certificant Conduct
https://www.cfp.net/news-events/latest-news/2004/07/07/cfp-board-censures-improper-cfp-certificant-conduct

... Letter of Admonition Vermont Robert J. Hudson Essex Junction Suspension Public disciplinary actions taken by CFP Board, in order of decreasing severity, include permanent revocation, suspension and letters of admonition. Under terms of the revocation, Robert Gutner no longer has ...

CFP Board Censures Improper CFP® Professional Conduct
https://www.cfp.net/news-events/latest-news/2011/06/21/cfp-board-censures-improper-cfp-professional-conduct

... Boulder Letter of Admonition Connecticut Dale R. Aldieri Middletown Letter of Admonition Florida Diane L. Barriga Parkland Interim Suspension Florida Robin S. Davis Stuart Letter of Admonition Florida David E. Sears Nokomis Revocation Illinois John O. Miller Lemont ...

Disciplinary Action Report
https://www.cfp.net/news-events/latest-news/2011/10/10/discplinary-action-report

... Tempe Letter of Admonition California Martin D. Batstone San Diego Revocation California Timothy J. Clyman Encinitas Revocation California Alvin W. Gebhart, CFP® Fallbrook Letter of Admonition California John H. Raphael, CFP® Walnut Creek Letter of Admonition ...

CFP Board Censures Improper CFP® Professional Conduct
https://www.cfp.net/news-events/latest-news/2014/10/24/cfp-board-censures-improper-cfp-professional-conduct

... Letter of Admonition Texas Keith D. Powell, CFP® Austin Letter of Admonition Texas Sean C. Thomas, CFP® Grapevine Letter of Admonition Virginia Michael P. Duprey, CFP® Alexandria Letter of Admonition Wisconsin ...

CFP Board Imposes Public Discipline
https://www.cfp.net/news-events/latest-news/2018/02/06/cfp-board-imposes-public-discipline

... Letter of Admonition Connecticut Gregory W. Kearney, CFP® Fairfield Letter of Admonition Florida Michael J. DeBoer Spring Hill Administrative Revocation Florida Stephen D. Ostrofsky, CFP® Boca Raton Letter of Admonition ...

CFP Board Censures Improper CFP® Certificant Conduct
https://www.cfp.net/news-events/latest-news/2004/10/22/cfp-board-censures-improper-cfp-certificant-conduct

... Public Letters of Admonition CALIFORNIA Stephen J. Kasa (San Ramon):In June 2004, CFP Board issued Mr. Kasa a public letter of admonition after its investigation of four NASD arbitration proceedings, one civil lawsuit and an NASD letter of caution he received and his false attestations on applicable ...

CFP Board Censures Improper CFP® Certificant Conduct
https://www.cfp.net/news-events/latest-news/2006/06/01/cfp-board-censures-improper-cfp-certificant-conduct

... Williams engaged in unauthorized transactions that resulted in the client's losses and that Mr. Williams was terminated by his broker/dealer for violating firm policy when he engaged in the unauthorized transactions. The Board determined to publish the letter of admonition only after Mr. Williams successfully ...

Investor and Adviser Groups Voice Opposition to Weakened Fiduciary Standard
https://www.cfp.net/news-events/latest-news/2013/06/05/investor-and-adviser-groups-voice-opposition-to-weakened-fiduciary-standard

In letter to SEC Chair White, group urges focus on investor protection In a letter to Securities and Exchange Commission (SEC) Chair Mary Jo White, a broad-based coalition of organizations today urged the agency to establish a uniform fiduciary standard for broker-dealers and investment advisers that ...

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