Tag: CFP Board disciplinary actions
CFP Board Disciplinary Action: Investigation and Inquiries
Financial Advisors: Concerned about a CFP Board Inquiry? If you are a financial advisor and have received a CFP Board Inquiry requesting...
CFP Board to spend $5 Million running background checks on CFPs in 2020
CFP Board to spend $5 Million running background checks on all CFPs in 2020 After news of reported significant failures in its enforcement...
CFP Board Revokes Certification of Financial Advisor Andrew G. Rosenberg
Disciplinary Actions against Andrew G. Rosenberg just announced Have you suffered financial losses as a result of investments made with...
CFP Board Revokes Certification of Advisor Stuart Horowitz
Disciplinary Actions against Stuart Horowitz just announced Have you suffered financial losses as a result of investments made with Stuart...
CFP Board Revokes Certification of Former Advisor Eric Kuchel
Disciplinary Actions against Eric Kuchel just announced Certified Financial Planner Board of Standards, Inc. (CFP Board) announced last...
CFP Board Imposes Discipline
CFP Board: Disciplinary actions relate to 23 current or former CFP® professionals CFP Board announced last week public disciplinary...
