Tom Sporkin

Managing Director, Enforcement

Tom Sporkin serves as Managing Director, Enforcement at CFP Board, the professional body for personal financial planners in the U.S. He leads a team of attorneys and legal staff in the detection, investigation and prosecution activities. Tom possesses decades of experience in enforcement and regulatory compliance, including 20 years in the SEC’s Division of Enforcement where he served in various leadership roles including co-managing the Office of Internet Enforcement, and, in the aftermath of the financial crisis, establishing and managing the Office of Market Intelligence, which included the Office of Market Surveillance and the SEC’s Whistleblower program.

CFP Board

What a former SEC executive has learned about CFP Board’s enforcement program

The nonprofit is serious about weeding out bad actors among CFP holders, writes Tom Sporkin, the official hired to run its compliance efforts.

By Tom Sporkin

July 22