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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

Date & Time of Hearing

FPSC and Al Thong, CFP®   Disciplinary Hearing: October 17, 2017
FPSC and James W. Dennis, CFP®  Motion: October 5, 2017
Disciplinary Hearing: October 20, 2017
FPSC and Christopher J. Singer, CFP®   Disciplinary Hearing: December 13, 2017
FPSC and Kevin T. Cahill, CFP®  Disciplinary Hearing: January 17, 2018
FPSC and Paul J. Lauzon, CFP® 
Disciplinary Hearing: January 23, 2018
* 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)