‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInNew CFP Board Enforcement Chief Brings Separation of Functions
His hiring and the board’s rearrangement of its enforcement structure involved a separation of the responsibilities that go into any given investigation into a CFP professional’s conduct. Sporkin’s team manages the detection, investigation and prosecution of alleged violations of the board’s Code of Ethics and Standards of Conduct, while General Counsel Leo Rydzewski handles the […]
CFP Board Appoints Thomas A Sporkin as Managing Director Enforcement | CFP Board
CFP Board announced today the appointment of Thomas A. Sporkin to the newly created position of Managing Director, Enforcement. Sporkin will lead a team of attorneys and legal staff to modernize the detection, investigation and prosecution activities at CFP Board. Sporkin joins CFP Board on January 4, 2021, after decades of experience in enforcement activities […]