ChPEA℠ Standards & Accountability

Disciplinary Policy & Public List of Disciplined Designees

The ChPEA Certification Board maintains standards of professional conduct and takes violations of the ChPEA℠ Code of Ethics seriously.
Professional Accountability

Grounds for Discipline

Disciplinary action may be taken when a ChPEA℠ designee fails to meet the standards, ethical requirements, or professional responsibilities associated with the designation.

01

Code of Ethics Violation

Violating the ChPEA℠ Code of Ethics.

02

Misrepresentation

Misrepresenting the designation, including implying government or FINRA endorsement.

03

License or Registration Issues

Losing or having a required underlying license or registration suspended.

04

Regulatory or Legal Action

A regulatory sanction, civil fraud finding, or relevant criminal conviction.

05

CE or Renewal Failure

Failing to meet continuing-education or renewal requirements.

06

Fraud or Client Harm

Fraud, misrepresentation, or material harm to a client.
How It Works

Disciplinary Process

Complaints and potential violations are reviewed through a defined process that provides notice and an opportunity for the designee to respond.

01

Committee Review

Review by the ChPEA Standards Committee.

02

Written Notice

Written notice is provided to the designee.

03

Opportunity to Respond

The designee has an opportunity to respond.

04

Committee Review

A determination is made based on the review.

05

Appeal

A single level of appeal is available to the Board.

Graduated Sanctions

Potential Disciplinary Actions

Sanctions may be graduated according to the nature and circumstances of the matter.

Written Warning
Mandatory Remediation
Suspension
Revocation
Public Registry

Public List of Disciplined Designees

When disciplinary actions occur, this page will provide public information about applicable disciplinary outcomes.

Disciplinary Actions

No Actions Reported

As of [date], no disciplinary actions have been taken.

When actions occur, this page will list the designee name, the action taken (suspension or revocation), and the effective date, consistent with applicable law.

Appeal

Opportunity for Appeal

Following a disciplinary determination, the designee has a single level of appeal to the ChPEA Certification Board.

Board Review

The Board provides the designated appeal level following the disciplinary determination.

Compliance Note: Counsel must review this page before any name is published. Disciplinary outcomes carry privacy and defamation considerations that vary by state.