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Disciplinary Reports

Reports on Disciplinary Actions

Disciplinary actions against CFP® professionals and FPSC Level 1® Certificants in Financial Planning who have been found to have breached the Standards of Professional Responsibility for CFP Professionals and FPSC Level 1 Certificants in Financial Planning are outlined here. To file a complaint against a CFP professional or FPSC Level 1 certificant, please refer to our Complaints Process.

To view disciplinary actions for a specific individual, please click below: