Tennessee Certified Financial Planners Disciplined by CFP Board-FEBRUARY 2015 UPDATE

According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirements for CFP. “

The CFP Board can discipline those holding the CFP title in one of three ways:

  • Public Letter of Admonition
  • Temporary Suspension of CFP certification
  • Revocation of individual’s CFP certification

The list below, taken from the CFP board disciplinary page of their
website in FEBRUARY 2015, is a historical record of individuals from Tennessee who have been disciplined by CFP Board and does not imply that any listed discipline is currently in force. To verify an individual’s current certification status visit the CFP website here.


Revocations
William C. Allen (Memphis)
Larry W. Cherry (Brentwood)
Gala Gorman (Brentwood)
Martha J. C. Hawk (Bloutville)
Lyman O. Heidtke (Nashville)
N. Lynn Newell (Chattanooga)
George M. Parrott (Nashville)
William Warren Smith (Memphis)

Permanent Relinquishments
Edward Alan Martin (Franklin)
Scott D. Patterson (Memphis)

Suspensions
Ralph T. Grubb (Johnson City)
Edwin H. Jaffe (Memphis)
Brian D. Schrauger (Brentwood)

Interim Suspension
Martha J.C. Hawk (Blountville)

Letter of Admonition
Russell Darin Hurley (Chattanooga)

If you have questions about losses, unauthorized trading or unsuitable investments in your stock brokerage account, contact us for a no charge consultation.

Rex Securities Law , located in Boca Raton, FL, provides representation to  investors  in Tennessee and nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Rex Securities Law

561 391 1900