CFP Board Censures 5 Professionals

Learning from the experiences of other CFP® professionals—especially those who have had their right to use the CFP® marks suspended or revoked—can be an incredibly valuable exercise for anyone in the profession. These real-world cases highlight how missteps in ethics, compliance, or client communication can have serious professional consequences. By studying these examples, current and aspiring CFP® professionals can gain a clearer understanding of the importance of upholding the CFP Board’s Code of Ethics and Standards of Conduct in every aspect of their practice.

These disciplinary actions serve as cautionary tales and learning tools, not just punishments. They offer insights into where things went wrong—whether it was a failure to disclose conflicts of interest, lapses in fiduciary duty, or issues with personal conduct—and how those actions violated the standards expected of CFP® professionals. By reflecting on these cases, professionals can strengthen their own practices, improve their decision-making, and reaffirm their commitment to ethical financial planning. Following the rules isn’t just about avoiding trouble—it’s about protecting clients, building trust, and elevating the profession as a whole.

To read about some of the most recent examples of the CFP Board upholding the standards of the certification, please click the link below.

https://www.cfp.net/news/2025/03/cfp-board-promotes-public-trust-with-five-actions