Skip to content
Enforcement Notices

Enforcement Notices 

Where the Conduct Review Panel has referred a matter to a Disciplinary Hearing, a Hearing Panel is convened to consider allegations of professional misconduct. Hearing Panels consist of three members and include, at a minimum, two CFP® professionals. In accordance with the Disciplinary Rules and Procedures (DRP), where a  CFP professional or FPSC Level 1® Certificant in Financial Planning is found to have breached the Standards of Professional Responsibility, the Hearing Panel may order discipline sanctions range from a letter of admonishment to suspension or revocation of certification. 


Name of Parties

Format & Date of Hearing

FPSC and Faith Krueger, CFP®    Decision on Merits pending  
FPSC and Dan Vivian Wang Disciplinary Hearing: January 24, 2019
FPSC and Scott Ford
Penalty Hearing: February 7, 2019
FPSC and Peter Gillen, CFP®
Disciplinary Hearing: April 9, 2019
FPSC and Kris Starosta
Disciplinary Hearing: April 30, 2019
* This schedule is provided for public information and is subject to change.

 


December 11, 2015 (Conduct Hearing; to be conducted in writing)

January 21, 2016 (Conduct Hearing; to be conducted in writing)