Tennessee Certified Financial Planners Disciplined by CFP Board

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 requirementments 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 May 2013, 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)
Catherine M. Nolen (Nashville)
Brian D. Schrauger (Brentwood)

Interim Suspension
Martha J.C. Hawk (Blountville)

Letter of Admonition
Russell Darin Hurley (Chattanooga)

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

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