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Complaint Procedure

To assist the public when filing a complaint against a Registered Financial Planners (RFP) designated professional please review the information given below.

When a professional has been granted authorization to use the RFP designation he/she agrees to abide by the code of ethics of the Registered Financial Planners Institute and to comply with all local/state/country laws in which the professional resides. If a violation has occurred and a complaint issued against the RFP member, the RFPI Board will investigate and determine if disciplinary action is warranted.

Grounds For Discipline

Misconduct by a RFP member constitutes grounds for discipline if violations have occurred that violate the RFPI Code of Ethics, violation of criminal laws in the state/country in which member resides, or any act that violates a professional license that the RFP member holds. A complaint or grievance filed against a RFP or member must be considered carefully since it could negatively affect the professional’s career and reputation. Disagreements about fees do not constitute unethical conduct nor would length of time to respond to a client. An error in judgment is not necessarily unethical conduct.

What To Expect

If a RFP member has been found guilty of misconduct or violation has been determined by the RFPI Board or local/state/county laws in which the RFPI member practices financial planning, the RFP member will be terminated the right to use the RFP designation and membership is ceased.

The RFPI Board will only act to enforce its Code of Ethics and our interpretation of the professional services that the public can expect to receive from our members.

Upon the receipt of a written complaint issued against the RFP member, the RFPI Board will carefully review the information and determine if further investigation is required. The RFP member will be given an appropriate response time to reply to the complaint.

Please complete the complaint form and mail or fax to the address indicated on the form.