Lowthorp Richards represents CFP® Professionals and Candidates regarding the Certified Financial Planner Board of Standards (“CFP Board”) Disciplinary and Ethics Commission (“The DEC”), throughout the disciplinary process: Investigation, Hearing Panel and Appeal.
The CFP Board takes violations of Rules, Ethics & Professional Responsibility very seriously and therefore strictly enforces perceived violations. The CFP Board’s enforcement process incudes written notice to individuals under investigation, the opportunity to respond to the matters under investigation, the opportunity to appear at a hearing to address allegations of misconduct, the right to be represented by legal counsel and introduce witnesses and evidence, the right to settlement, and the right to appeal decisions involving discipline.
If you have received a CFP Notice of Investigation, a CFP Complaint, or a notice of Presumptive Bar as a CFP Candidate, it is in your best interest to consult with legal counsel to weigh your options and gain a better understanding of the process. The best chance for resolving any CFP Board investigation matter with a favorable outcome is early on with the assistance of a skilled attorney with expertise in this area.