CFP Practice Questions - Certified Financial Planner Exam

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A CFP professional receives a complaint from a client alleging negligence. Under the CFP Board's disciplinary process, what is the first step after the complaint is filed?

The CFP professional's certification is immediately suspended pending investigation The CFP Board's Disciplinary and Ethics Commission conducts a formal hearing CFP Board staff conducts a preliminary investigation to determine if a potential violation occurred The complaint is forwarded directly to FINRA for review

Correct Answer:

CFP Board staff conducts a preliminary investigation to determine if a potential violation occurred

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