Participating in CFP Board's Disciplinary Process as a Member of the Public

Why you Should Participate

Your participation in CFP Board's disciplinary process is critical because it assists CFP Board with maintaining the integrity of the CFP® certification. CFP Board wants to know when a CFP® professional may not have acted in an ethical manner when interacting with members of the public.

How You May Participate

There are multiple ways in which your may participate in our process.

As a Complainant

• You may file a complaint directly with CFP Board against a CFP® professional whom you believe may have engaged in misconduct.
• CFP Board may contact you to examine your professional relationship with the CFP® professional based on a customer complaint or arbitration you filed against the CFP® professional with another organization such as the CFP® professional's firm or a regulatory body.

As a Information Provider

CFP Board may request that you provide information regarding your interaction with the CFP® professional and sign a Consent Form that allows CFP Board to gain access to information related to your interaction with the CFP® professional. This information may include:

• Any agreements you entered into with the CFP® professional or the CFP® professional's firm.
• Documents you completed to open accounts with the CFP® professional or the CFP® professional's firm.
• Any financial plan prepared by the CFP® professional on your behalf.
• Documents demonstrating the recommendations implemented by the CFP® professional on your behalf.
• Communications you had with the CFP® professional.

As a Witness

If CFP Board believes there is a violation of CFP Board's Code and Standards, CFP Board may request that you appear as a witness in the disciplinary proceeding. Serving as a witness involves providing testimony, either in-person or telephonically, during a hearing before CFP Board's Disciplinary and Ethics Commission. Members of the Disciplinary and Ethics Commission, the CFP® professional or the CFP® professional's representative and CFP Board Counsel will be present during the hearing and will ask questions about your interaction with the CFP® professional.