Names & Faces

William Mann Appointed Managing Director Of Adjudication By CFP Board

Mann brings 25 years of legal experience in financial services

CFP Board Appoints  as WASHINGTON, D.C., June 5, 2024 — CFP Board today announced the appointment of William (Bill) Mann, J.D., as its Managing Director of Adjudication, a role that supports upholding the organization’s Code of Ethics and Standards of Conduct (Code and Standards).

“CFP Board is committed to setting and upholding ethical standards in a fair and credible process,” said CFP Board CEO Kevin R. Keller, CAE. “Bill’s extensive financial services experience and legal expertise are invaluable in helping us maintain the integrity of CFP® certification.”

As Managing Director, Mann oversees the adjudication process in compliance with CFP Board’s Procedural Rules, Code and Standards, Fitness Standards and Sanction Guidelines. He serves as the lead legal counsel to the Disciplinary and Ethics Commission (DEC), managing all hearings, reviews and preparation of written orders. Mann succeeds Erin Koeppel, J.D., who has been promoted to Managing Director of Government Relations and Public Policy Counsel after serving as lead counsel to the DEC for more than five years.

Years Of Experience

Before joining CFP Board, Mann was Managing Director, Deputy Chief Counsel at Charles Schwab. Previously, he was Special Counsel at Schulte Roth & Zabel LLP, focusing on internal investigations, securities litigation and enforcement matters. Prior to that role, he was a partner at Mayer Brown LLP, where he represented prominent clients in the financial industry. Mann holds a J.D. from the University of Virginia and a bachelor’s degree in economics, English and political science from the University of Richmond.

Mann is based at CFP Board’s headquarters in Washington, D.C., and reports to General Counsel Leo G. Rydzewski, J.D., CAE.

 

 

 

About CFP Board
CFP Board is the professional body for personal financial planners in the U.S. CFP Board consists of two affiliated organizations focused on advancing the financial planning profession for the public’s benefit. CFP Board of Standards sets and upholds standards for financial planning and administers the prestigious CERTIFIED FINANCIAL PLANNERTM certification — widely recognized by the public, advisors and firms as the standard for financial planners — so that the public has access to the benefits of competent and ethical financial planning. CFP® certification is held by more than 100,000 people in the U.S. CFP Board Center for Financial Planning addresses diversity and workforce development challenges and conducts and publishes research that adds to the financial planning profession’s body of knowledge.

 

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