Texas Financial Planners Sanctioned by Certified Financial Planning Board-Dec. 2017 Update

UPDATED December 2017

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 DECEMBER 2017, is a historical record of individuals from Texas 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.

Administrative Revocation
Marcus C. Rodriguez (Houston)

Revocations
Nicole Y. Allen (Dallas)
Charles I. Alvarez (Houston)
Jeffrey W. Baum (Lubbock)
Farrish E. Betton (Houston)
Texas Craig R. Brockman (Plano)
Robert Carpenter (Wylie)
Mark W. Chuckran (Spring)
Jerrell J. Cosby (Fort Worth)
David Disraeli (Cedar Park)
Kathryn B. Farland (Plano)
Gordon Fiddes (Arlington)
A. Ken Flake, Sr. (Houston)
John J. Forsberg (Dallas)
Larry B. Groover (Dallas)
Douglas J. Hellie (San Antonio)
A. James Lynn (Dallas)
William H. Matthews (Dallas)
Jay C. Miles (Brenham/Chappell Hill)
Julia Carolyn Norton (San Antonio)
Solomon O. Onita (Houston)
Hymie Orlin (Houston)
Paul O. Ptak (Carrollton)
Lawrence L. Richter (San Antonio)
Terrence P. Riely (San Antonio)
Ralph R. Rush (El Paso)
Richard J. Suydam (Austin)
Brian P. Troy (Keller)
Travis D. Wakeley (Hurst)

Suspensions
Noor Amirali (Houston)
Matthew J. Anderson (Austin)
Brian W. Armstrong (Cleburne)
Gilbert J. Baker (Houston)
C. W. Biggs (Denton)
Richard D. Blair (Bee Cave)
Russell K. Childs (Spring)
Thomas M. Couch Jr. (Houston)
Craig A. Curry (Houston)
Kenneth W. Dresel (Midland)
Daniel P. Hensley (San Antonio)
Kyle Holland (Austin)
Carl E. Jones (Euless)
M.F. “Mickey” Long (Plano)
Texas Lance R. McCollum (Itasca)
Marianne Springer Miller (San Antonio)
Jeremy B. Stauss (Fort Worth)
John Howard Towers (Plano)
Roger D. Stevenson (San Benito)

Interim Suspension
Brian P. Troy (Keller)

Letters of Admonition
Douglas Wayne Blankenship (Addison)
Donald H. Christie (Waco)
Gerald S. Cohn (San Antonio)
Kerwyn N. Escayg (Webster)
Alan Goldfarb (Dallas)
Patricia Bisch Green (Houston)
Travis Hughes (El Paso)
Greer A. Kendall (Dallas)
MF “Mickey” Long, II (Plano)
Sidney J. Lorio (Bedford)
Sharon R. Luker (Plano)
Linnie Logan Phebus (Austin)
Keith D. Powell (Austin)
Lee A. Przybyla (San Antonio)
David L. Rhodes (Bryan)
Brian W. Sak (Magnolia)
Sean C. Thomas (Grapevine)
George M. Warner (Rockwall)

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  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.

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