FPAM investigates allegations of misconduct received or discovered about a CFP professional that may indicate a violation of FPAM’s Code of Ethics and Professional Responsibility or Financial Planning Practice Standards, and disciplines a CFP professional for violations of these standards through Disciplinary Rules and Procedures for CFP Professionals.

FPAM Disciplinary Rules and Procedures for CFP Professionals is a guide to how FPAM conducts investigations and hearings regarding actions by CFP certificants, AFPM certificants and Trade members, when there is evidence of a breach of FPAM’s Code of Ethics and Professional Responsibility.

This document is a resource for members of the public wishing to lodge a complaint about a member of FPAM and also the member of CFP certificant against whom the complaint is made. The member or complainant’s legal counsel, and the independent Hearing Panel all use this document to ensure that a fair and consistent process is followed with each complaint.

Click here for Disciplinary Procedures