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Brand AI

Creative Planning

Controversies

Controversies tied to this brand in public sources. A listing is not a finding of fault.

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  1. 2018

    SEC enforcement action over radio testimonials

    The SEC fined Creative Planning $200,000, censured the firm, and required a cease-and-desist undertaking after radio advertisements used testimonials from a client who hosted the program. The advertisements were treated as violating requirements under the Investment Advisers Act of 1940. Peter Mallouk was separately fined $50,000 for failing to report family members' investments in the firm.

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