CFP Board Establishes Appeals Commission to Adjudicate Appeals, Appoints Inaugural Members

Certified Financial Planner Board of Standards, Inc. announced today that it established an Appeals Commission with sole authority to adjudicate appeal hearings. CFP Board also announced the appointment of the Commission’s inaugural members: Denny Crawford; Shelly-Ann Eweka, CFP®; Susan MacMichael John, CFP®; Gary Strickland, Esq. and Jeffrey Weekes, CFP®. All five begin their term of service on February 1, 2022.

The Appeals Commission was established through changes to CFP Board’s Procedural Rules that were released for public comment in November 2021. With the Board of Directors’ adoption of updated Procedural Rules, which is effective February 21, 2022, the current procedures and standard of review for adjudicating appeals do not change. However, responsibility for adjudication of appeal hearings shifts from the Board’s Code and Standards Enforcement Committee to the new Appeals Commission. The Commission will now issue CFP Board’s final decision when an individual appeals a final order of the Disciplinary and Ethics Commission (DEC) or an Administrative Order.

“CFP Board is pleased to welcome Denny, Shelly-Ann, Susan, Gary and Jeffrey as the inaugural members of the Appeals Commission,” said CFP Board CEO Kevin R. Keller, CAE. “Their extensive professional experience across diverse business segments and their commitment to CFP Board’s high ethical standards will help ensure that our appeals process remains credible to the public and fair to those whose conduct is being evaluated.”

The Appeals Commission comprises five members who currently do not sit on CFP Board’s Board of Directors:

Denise (Denny) Voigt Crawford (Chair) is a former member of CFP Board’s Board of Directors, a four-year member (and three-year Chair) of the Board’s Code and Standards Enforcement Committee (formerly Appeals Committee), and former Chair of the Independent Task Force on Enforcement. She served as the Texas Securities Commissioner for 17 years and was twice-elected president of the North American Securities Administrators Association. Denny previously served on the Board of Directors for the National Endowment for Financial Education and the National White Collar Crime Center; was Lead Trustee of the Investor Protection Trust; was a member of the SEC’s Consumer Affairs Advisory Committee; and was a member of the CFTC’s Global Affairs Advisory Committee. She received her juris doctor from St. Mary's University School of Law and a bachelor’s degree from the University of Texas at Austin. Denny will serve a two-year term, ending on December 31, 2023.

Shelly-Ann Eweka, CFP® is a former Chair of the CFP Board’s DEC and current Chair of the Sanctions and Fitness Commission. She is a Senior Director of Advice & Financial Planning Strategy. She supports TIAA's objective to engage customers with advice that helps them meet their financial needs to and through retirement. She partners with Financial Wellness teams to proactively deliver forward-looking messaging/guidance through different platforms. She previously served as a Relationship Manager at Chase Manhattan Bank, a Financial Planner/Workshop Presenter at Ernst & Young, and a Financial Planner at the Vanguard Group. Shelly-Ann earned a Masters of Taxation from Northeastern University, a BSE in Electrical Engineering from the University of Pennsylvania, and her certificate in financial planning from New York University. She will serve a three-year term, ending December 31, 2024.

Susan MacMichael John, CFP® is a former Chair of the Board of Directors of CFP Board, a former member of the CFP Board Appeals Committee, and a two-term chair of the National Association of Personal Financial Advisors (NAPFA). She currently serves as Managing Director of Financial Planning at FLPutnam in Wolfeboro, New Hampshire where she is responsible for leading the development and delivery of financial planning services. She uses a holistic wealth management process by incorporating core elements of financial planning: financial positioning, asset protection, investment management, cash flow, tax management, retirement planning, and estate and legacy planning. Susan also coordinates with family members, outside advisors and with other members of the clients’ professional team. She has a B.S. from Plymouth State University. Susan will serve a two-year term, ending December 31, 2023.

Gary Strickland, Esq. is a member of CFP Board’s Disciplinary and Ethics Commission and is a partner at Warner Angle Hallam Jackson & Formanek, P.L.C. in Phoenix, Arizona. In addition to handling probate and civil litigation, he serves as a Maricopa County Superior Court Judge Pro Tem and acts as arbitrator and mediator in a variety of fields. Gary previously served as the Maricopa County Public Fiduciary, was a State of Arizona Administrative Law Judge on the Central Panel and was Deputy County Attorney in the Maricopa County Attorney’s Office/Civil Division. He received his Bachelor of Arts and Master of Arts degrees from Bob Jones University, a Master of Divinity degree from Covenant Theological Seminary in St. Louis, and his Doctor of Law degree from Washington University in St. Louis School of Law. He will serve a three-year term, ending December 31, 2024.

Jeffrey Weekes, CFP® is a former member of the DEC and a current members of CFP Board’s Sanctions and Fitness Commission. He serves as a Vice President, Financial Advisor and Senior Portfolio Manager with Morgan Stanley in Stroudsburg, Pennsylvania. Jeffrey provides comprehensive financial planning and investment advice to high-net-worth clients. In 2014, he served as a presenter on the CFP Board webinar “How to Determine if You’re in a Financial Planning Engagement.” Jeffrey currently serves as Chairman of the board of the Redevelopment Authority of Monroe County. He graduated with a B.A. in Economics from Colgate University. Jeffrey will serve a four-year term, ending December 31, 2025.