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Tag: CFP Board disciplinary actions

Blog, Current Investigations

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...

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Blog, Current Investigations

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...

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Current Investigations, Securities Fraud

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...

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Current Investigations, Securities Fraud

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...

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Current Investigations

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...

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Current Investigations

CFP Board Imposes Discipline

CFP Board: Disciplinary actions relate to 23 current or former CFP® professionals CFP Board announced last week public disciplinary...

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