Enforcement
Case Histories
CFP Board’s Case Histories database includes information about orders issued by the Disciplinary and Ethics Commission (DEC) or staff-issued Administrative Orders, including full orders that issue public sanctions. DEC orders that issue private sanctions or dismissals, DEC orders that grant Petitions for Fitness Determination or Reinstatement, as well as previously issued Case History documents, are provided in an anonymous format. CFP Board intends for Case Histories of DEC orders to provide non-binding instructive context and guidance. Case Histories of Administrative Orders are provided for information purposes only and should not be cited as precedent by the DEC, CFP Board’s Appeals Commission, or any other parties.
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