Share this article
Share this article
WASHINGTON, Jan. 22, 2021 /PRNewswire/ Certified Financial Planner Board of Standards, Inc. (CFP Board) announced that it has imposed an interim suspension of the CFP® certification against Andrew D. Slocum, which was effective as of January 19, 2021.
On January 19, 2021, CFP Board issued an automatic interim suspension order suspending Andrew D. Slocum s right to use the CFP® certification marks. CFP Board imposed an automatic interim suspension after receiving evidence that Mr. Slocum was permanently barred by Financial Industry Regulatory Authority, Inc. (FINRA) from association with any FINRA member in any capacities on August 24, 2020, wherein FINRA made findings that Mr. Slocum: (1) failed to respond to FINRA s May 21, 2020 and June 15, 2020 requests for the production of information and documents. FINRA determined that Mr. Slocum s failure to respond to FINRA s requests warranted a permanent bar under FINRA Rule 9552(h). Unde
CFP Board Imposes Public Discipline
Disciplinary actions relate to 24 current or former CFP® professionals
News provided by
Share this article
Share this article
WASHINGTON, Jan. 19, 2021 /PRNewswire/ Certified Financial Planner Board of Standards, Inc. (CFP Board) announced today public disciplinary actions against the following individuals, effective immediately or on the date noted in each case. Public disciplinary actions taken by CFP Board, in order of increasing severity, include Public Censures, Suspensions and Permanent Revocations. This release contains information about recent disciplinary actions relating to 24 current or former CFP® professionals. Of these actions, there are six Public Censures, 10 Suspensions, and eight Revocations.
Share this article
Share this article
WASHINGTON, Jan. 6, 2021 /PRNewswire/ Certified Financial Planner Board of Standards, Inc. (CFP Board) announced that it has imposed an interim suspension of the CFP® certification against William D. King, which was effective as of December 23, 2020.
On December 23, 2020, CFP Board imposed an automatic interim suspension temporarily suspending William D. King s right to use the CFP® certification marks pursuant to Article 2.1.b. of CFP Board s
Procedural Rules. Article 2.1.b. provides that: CFP Board Counsel, without action by a Hearing Panel or the Disciplinary and Ethics Commission, may deliver an Interim Suspension Order if Respondent…is the subject of Professional Discipline, as defined in Article 7.2, that resulted in a revocation, bar, or equivalent sanction. Article 7.2 states: A record from a…federal…governmental agency…imposing discipline upon Respondent ( Professional Discipline ) is conclusive proof of the existenc
CFP Board Imposes an Interim Suspension on Daryll D Claxton of Havertown, Pennsylvania prnewswire.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from prnewswire.com Daily Mail and Mail on Sunday newspapers.