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The CBEC®’s mission is to benefit the public by granting the CBEC® certification and upholding it as the recognized standard of excellence for competent and ethical business planning. As part of that mission, we require all CBEC® professionals to abide by a set of ethical principles and standards to be followed as a condition to being able to use the CBEC® certification.

If you believe that a CBEC® professional has violated the Standards of Professional Conduct and would like to report the alleged misconduct, you may submit a complaint. Please carefully consider your complaint before filing, and be advised that it takes more than a mere disagreement with a CBEC® professional or an unsubstantiated claim of misconduct to justify an investigation and potential follow-on disciplinary action. Thus, with any complaint against a CBEC® professional, you must provide documents and other evidence to support your claim of unprofessional or unethical conduct.

You can be assured that the International Exit Planning Association thoroughly reviews all complaints against CBEC® professionals. Complaints against CBEC® professionals can be submitted on the form below.

Your complaint should include supporting materials such as relevant letters, contracts, agreements, investment account statements, and other documents. CBEC® Board staff may contact you to request additional information if needed and may request an interview if necessary.

We will accept an anonymous complaint. However, please note that preserving a complainant's anonymity may result in us not being able to conduct a full investigation.

If our staff determines that a complaint contains sufficient grounds to initiate an investigation, the CBEC® professional who is the subject of the complaint may be sent a copy of the complaint and given the opportunity to respond. In addition, our staff may share details of the investigation with other state and federal regulatory bodies, including but not limited to the Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission.

Please be aware that there may be other remedies available for you to pursue under state and federal laws and regulations with applicable regulatory bodies. We are unable to provide you with any legal advice, and it is your responsibility to pursue any such remedies.