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  • ABOUT
  • ATTORNEYS
    • Bruce Lewitas
    • Douglas W. Hyman
    • Daniel Hildebrand
  • FINANCIAL PROFESSIONALS
    • FINRA, SEC and State Regulatory Investigations
    • Employment Counsel
    • Wrongful Discharge
    • Expungement Claims
    • Promissory and Forgivable Notes
    • Firm Transitions
    • CFP Board Investigations
    • Partnership Disputes
    • Broker Protocol FAQs
    • Form U5 Claims
  • FINANCIAL INSTITUTIONS
    • Financial Services Arbitration and Litigation
    • Regulatory Counseling and Investigations
    • RIA Formation and Compliance Counsel
    • Securities and Commercial Litigation
  • INVESTORS
    • Investor Notice: GWG L Bonds
    • Frequently Asked Questions About Investment Loss Matters
    • Financial Advisor Misconduct
    • Breach of Fiduciary and Other Duties
    • Retirement Planning Negligence
    • Securities and Investment Fraud
    • Unauthorized Trading
  • BLOG
  • CONTACT

CFP Board announces sanctions against 12 financial planners

On Behalf of Lewitas Hyman PC | Jan 25, 2023 | CFP Board

The Certified Financial Planner Board of Standards has announced public sanctions against 12 current or former CFP® professionals who were found to have violated the profession’s ethical standards. The CFP Board’s sanctions, in order of increasing severity, included...

CFP Board imposes interim suspension order against Texas investment adviser

On Behalf of Lewitas Hyman PC | Dec 28, 2022 | CFP Board

The Certified Financial Planner Board of Standards has taken disciplinary action against a Texas financial professional due to violations of the board’s ethical standards. The CFP Board announced that it imposed an interim suspension of the CFP® certification against...

CFP board forms commission to review profession’s competency requirements

On Behalf of Lewitas Hyman PC | Dec 23, 2022 | CFP Board

The Certified Financial Planner Board of Standards has announced an initiative aimed at reviewing the current competency requirements for CFP® professionals. In a news release, the CFP Board said it will form a Competency Standards Commission in 2023. The commission’s...

CFP Board pushes for firms to improve diversity in financial planning profession

On Behalf of Lewitas Hyman PC | Dec 6, 2022 | CFP Board

The Certified Financial Planner Board of Standards is calling on financial planning firms to improve their efforts to bring more diversity to the profession, according to a report by Financial Advisor. The CFP Board’s CEO, Kevin Keller, addressed the topic following...

CFP Board proposes time limit to file for reinstatement after suspension order

On Behalf of Lewitas Hyman PC | Nov 28, 2022 | CFP Board

The Certified Financial Planner Board of Standards is proposing several changes to its procedural rules to reform elements of its enforcement process, according to InvestmentNews. The board released the changes last week for public comment, setting January 23, 2023 as...

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