Mr. Aubrey E. Vaughn, III

In April 2021, CFP Board issued an administrative order revoking Mr. Vaughn’s rights to use the CFP® marks. This order followed Mr. Vaughn’s failure to file an Answer to CFP Board’s Complaint within the required time frame. CFP Board alleged that on December 11, 2019, Mr. Vaughn entered a “Nolo-Contendere” and “Alford” plea to one non-financial offense in the Superior Court of Fulton County in Case No. CR 19-SC-173439 and received First Offender treatment. Mr. Vaughn received five years of probation, with the ability to petition for discharge without any resulting conviction. CFP Board further alleged that Mr. Vaughn’s conduct violated Rule 6.5 of the Rules of Conduct. Under Article 4.1 of the Procedural Rules, Mr. Vaughn has been deemed in default. In accordance with Article 4.2 of the Procedural Rules, based on CFP Board’s determination of the seriousness, scope, and harmfulness of Mr. Vaughn’s conduct, CFP Board issued an Administrative Order of Revocation. Mr. Vaughn’s revocation was effective as of May 31, 2021.

In March 2020, the Commission issued Aubrey E. Vaughn, III of Atlanta, Georgia, an interim suspension of his right to use the CFP® certification marks. In March 2019, Mr. Vaughn disclosed to CFP Board that he had been named as the primary defendant in the State of Georgia v. Aubrey Vaughn, III (Case Number 19CP181380) in which he was indicted for two felonies not arriving out of the provision of financial services on August 6, 2019. On December 17, 2019, CFP Board issued an Order to Show Cause directing Mr. Vaughn to show why his right to use the CFP® marks should not be temporarily suspended pending the outcome of an investigation by CFP Board pursuant to Article 5.1 of CFP Board’s Disciplinary Rules. In his response to the Order to Show Cause, Respondent described that, because the alleged victim had recanted allegations, Georgia authorities reaccused the case, with a new case number, charging him with one felony not arising out of the provision of financial services. Respondent also described that, on December 11, 2019, he entered a “Nolo-Contendere” “Alford” “First Offender” plea to the one nonfinancial felony in the Superior Court of Fulton County in Case No. CR 19-SC-173439. He was sentenced to five years’ probation, with the ability to petition for discharge of probation without conviction in three years’ time. On February 19, 2020, Mr. Vaughn appeared before the Commission, where he had the burden to prove, by a preponderance of the evidence, that the aforementioned alleged conduct did not pose an immediate threat to the public and that the gravity of his alleged conduct did not significantly impinge upon the stature and reputation of the CFP® marks. After considering the evidence and testimony presented, the Commission determined that Mr. Vaughn proved that he did not pose an immediate threat to the public but that he did not prove that the gravity of the alleged conduct underlying the charge to which he entered the “Nolo-Contendere” “Alford” plea did not significantly impinge upon the stature and reputation of the CFP® marks. Therefore, the Commission issued an interim suspension to Mr. Vaughn. Under the interim suspension order, Mr. Vaughn’s right to use the CFP® marks is suspended pending CFP Board’s completed investigation and possible further disciplinary proceedings. The interim suspension order became effective on March 2, 2020.