It’s Time for CFP Board to Apologize to Alan Goldfarb
It turns out there are potentially thousands of CFPs who aren't fee-only, but the Board’s amateurish reaction to the revelation provides fuel to its critics.
Staples, Goldfarb Departures Not Linked, CFP Board Says
The CFP Board is now searching for a director of investigations to replace Rex Staples, whose last day will be Friday.
The Curious Case of the CFP Board and a Double-Dipping CFP
At issue: Can there really be extenuating circumstances to an advisor double dipping?
What Planners Can Expect From CFP Board's New Sanction Guidelines
Suggestions received during the public comment period on the Board's guidelines resulted in increases to some proposed penalties; forgery, fraud and breach of fiduciary duty all saw suggested penalties raised to a suspension of a year and a day.
CFP Board’s Keller Says New ‘Top Cop’ Will Beef Up Investigations
Keller tells AdvisorOne that Rex Staples, the former general counsel for NASAA who will start his new post on April 9, will help “build our capacity to achieve our mission of benefiting the public.”
Planners Beware: More Probes by CFP Board; Reg S-P Victory Gives It More Teeth—Compliance Watch
CFP Board enforcement chief Shaw says 1,500 investigations launched in 2010; bankruptcies new focus.
Big Brokers and Planning
Now that fee-based brokerage accounts are forbidden, some major brokerage firms are finding that the shift to investment advisory accounts, financial planning, and the Certified...
Commissioner Roel Campos of the Securities and Exchange Commission announced August 9 that he intends to leave the Commission in a month's time to return...