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 David Karas |
|Penalty Hearing: July 10, 2017 |
|FPSC and Rod Warren, CFP® || Disciplinary Hearing: July 4, 2017 |
|FPSC re Gabriele Gentile, CFP® and FPSC re R. Bruce Brinson, CFP® ||Disciplinary Hearing: July 26, 2017 |
| * This schedule is provided for public information and is subject to change. |