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CFP Board Proposed Sanction Guidelines

Recently, the CFP Board filed proposals for heightened sanction guidelines to be imposed on certified financial planners (“CFPs”) who violate the CFP Board Rules. Lax & Neville LLP has experience representing individuals in CFP Board investigations, hearings and enforcement matters. A recent matter in which we were retained resulted in a complete dismissal of the CFP Board’s charges after a hearing. If you are a CFP and have received a complaint from the CFP Board or have been charged with violating CFP Board Rules, please contact our office immediately.

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