Complaint Procedures

Disciplinary Procedures

Common Questions

Submit a Complaint

Disciplinary Actions

Disciplinary Statistics

Code of Ethics

Practice Standards

Common Questions

How Long Does it Take?

The length of time it will take to deal with any particular grievance is difficult to determine in advance. A grievance regarding the handling of a complex estate would take more time to investigate than a grievance that someone accepted a retainer fee then failed to deliver the client’s plan.

The Board of Professional Review generally processes grievances in the order in which they are filed and as quickly as the process will allow and will notify you when it has received your information. Additionally, you will be notified when the matter has been concluded. CFP Board will only inform you of any public discipline imposed.

Some Things You Should Not Expect

You should not expect that a grievance will be decided solely on the basis of what the complainant claims to have happened, just as the matter will not necessarily be decided solely on the basis of the answer submitted by the respondent. The final decision must depend on the weight of all available information.

The disciplinary process cannot necessarily be expected to solve your original problems. You should not expect, as a result of your grievance to us, to receive monetary compensation through CFP Board. Disciplinary proceedings are restricted to the question of ethical conduct of CERTIFIED FINANCIAL PLANNER™ professionals.

CFP Board can act only to enforce its Code of Ethics and Professional Responsibility and Financial Planning Practice Standards. Enforcement measures include private censure, public letter of admonition, suspension or revocation of the right to use the CFP® marks.