Category Archives: Certified Financial Planning Board

Colorado Certified Financial Planners Disciplined by CFP Board- OCTOBER 2016 Update

UPDATED OCTOBER 2016

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 OCTOBER 2016, is a historical record of individuals from Colorado 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
Vincent E. Barborka (Colorado Springs)
Riley W. Barker (Denver)
Gordon M. Budreau (Denver)
Chad A. Carpenter (Denver)
Cary D. Clark (Englewood)
John R. Erb (Steamboat Springs)
Bruce L. Fleet (Greenwood Village)
David L. Gresty (Aurora)
Nelson C. Krum, Sr. (Denver)
Brent L. Marvin (Highlands Ranch)
Jeffrey D. Ogle (Littleton)
Norman P. Rounds (Boulder)
Michael L. Seat (Broomfield)
James. J. Valasek (Colorado Springs)
Rick D. VanVleet (Fort Collins)
Robert L. West (Greenwood Village)
Darrell J. Williams (Colorado Springs)

Suspensions
Charles Battle (Denver)
Carol E. Dixon (Longmont)
Kent A. Fairweather (Denver)
James F. Glaza (Colorado Springs)
Jeannette A. Howes (Colorado Springs)
Scott B. Nelson (Lone Tree)
Louis W. Welt (Boulder)
Devon A. Wright (Golden)

Letters of Admonition
Mark A. Cose (Glenwood Springs)
Jason G. Hovde (Castle Rock)
Jim Newcomb (Fort Collins)
Martin T. Streetman (Castle Rock)
Patricia W. Wier (Boulder)

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 , 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

New York Certified Financial Planners Disciplined by CFP Board- OCTOBER 2016 Update

UPDATED OCTOBER 2016

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 OCTOBER 2016, is a historical record of individuals from New York 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
Rita Baskin (Long Beach)
Edward A. Borden (Central Islip)
Frank R. Breitweiser (Cuddebackville)
Thomas H. Core (New York)
Peter J. Dawson (Albion)
Daniel Dunphy (Port Jefferson)
Robert J. Elser (Newburgh)
Jay J. Gianni (Depew)
William H. Goren (Croton-on-Hudson/Saint James)
Walter L.R. Harrah, III (Sound Beach)
Peggy J. Homuth (Pittsford)
William F. Keats (North Merrick)
Steven D. Klein (Lynbrook)
Bryan S. Kogut (Williamsville)
Thomas W. Laundrie (Garden City)
Alan A. Miosi (Buffalo)
Edward A. Mordini (Garden City)
Richard J. Pisani (Vestal)
Edward D. Puttick (Setauket)
Mark William Rager (Geneva)
John A. Reilly (New York)
Brooke Stephens (Brooklyn)
Matthew D. Weitzman (Armonk)
Kevin J. White (Hudson)
Kenneth P. Wirth (Bradford)
Kevin D. Wirth (Yorktown Heights)
Jack R. Wolff (Garden City)
Joseph P. Zicari (Rochester)

Suspensions
Morris Armstrong (Yorktown Heights)
William V. Canale, II (Niskayuna)
David Chin (New York City)
Peter J. Dawson, II (Huntington)
Christopher G. Gibas (Grand Island)
Frank P. Grasso (Sayville)
Jon R. Harrison (Rochester)
Scott G. Klatt (Rochester)
William J. Lucadamo (Bayside)
Robert A. Magliulo (Manhasset)
Raymond Martin (Saratoga Springs)
Scott E. McVicker (Pittsford)
Ronald S. Reale (Jericho)
James J. Reilly (Mamaroneck)
Kenneth L. Sojka (New Rochelle)
Stephen F. Tripodi (Williamsville)
Lewis N. Waltzer (Newburgh)

Interim Suspensions
Morris Armstrong (Yorktown Heights)
Matthew D. Weitzman (Armonk)

Letters of Admonition
Dennis O. Beadle (New York)
Steven P. Cariati (Slingerlands)
Joseph L. Downey (Massapequa Park)
Todd M. Dudonis (East Northport)
Scott M. Fitzgerald (Melville)
John P. Hannan (Skaneateles)
Harry W. Linindoll III (East Greenbush)
Bryan Mackey (Buffalo)
Michael D. Mathias (Mt. Kisco)
Brian Taggart (Saint James)
Arthur W. Tuttle (Nanuet)

Delay of CFP® Certification
William W. Fauth (Huntington)

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 , 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

South Carolina Certified Financial Planners Disciplined by CFP Board- OCTOBER 2016 Update

UPDATED OCTOBER 2016

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 OCTOBER 2016, is a historical record of individuals from South Carolina 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
Ronald Jefferson Davis (Mt. Pleasant)
John P. Menzo (Prosperity)
Oren E. Sullivan (Rock Hill)

Suspensions
Wayne Cassaday (Mount Pleasant)
Brett Fellows (Mt. Pleasant)

Interim Suspension
Ronald Jefferson Davis (Mount Pleasant)

Letters of Admonition
Christopher E. Cabri (Charleston)
Emmet Martin (Greenville)

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

North Carolina Certified Financial Planners Disciplined by CFP Board- OCTOBER 2016 Update

UPDATED OCTOBER 2016

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 OCTOBER 2016, is a historical record of individuals from North Carolina 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
Michael T. Sullivan (Mooresville)

Revocations
George E. Brooks (Charlotte)
R. Anderson Cain (Greensboro)
William H. Carmon (Whitsett)
Richard A. Corley (Raleigh)
David H. Henderson (Matthews)
Marshall E. Melton (Greensboro)
John K. Toupin (Franklin)
Richard H. Van Eerden (Greensboro)

Suspensions
Leon E. Abbas (Cary)
James W. Brophy (Winston-Salem)
Timothy C. Hucks (Chapel Hill)
Wayne E. Jorve (Oakes)
Ryan R. Poterack (Charlotte)
James F. Seramba (Greensboro)
R. Michael Slaughter (Charlotte)
Frank S. Sparger (Norwood)

Letters Of Admonition
R. Brent Dees (Charlotte)
William Howard (Davidson)
Don G. Stamas (Charlotte)
Gerald T. Summerlin Jr. (Reidsville)
Robert W. Volpe (Holly Springs)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 , 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Oklahoma Certified Financial Planners Disciplined by CFP Board- OCTOBER 2016 Update

UPDATED OCTOBER 2016

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 OCTOBER 2016, is a historical record of individuals from Oklahoma 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
David L. Armstrong (Norman)
Sherry B. Armstrong (Valliant)
Mark D. Icenogle (Tulsa)
James D. Lang, Jr. (El Reno)

Letter of Admonition
Michael P. Dunham (Oklahoma City)

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 , 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Kansas Certified Financial Planners Disciplined by CFP Board-Oct 2016 UPDATE

UPDATED OCTOBER 2016

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 OCTOBER 2016, is a historical record of individuals from Kansas 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
Larry Lee Crawford (North Newton)
John M. Kittle (Wichita)

Suspensions
Ronald W. Reeves (Wichita)
Timothy R. Rodgers (Overland Park)

Letter of Admonition
Shawn M. Wyatt (Hutchinson)

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 , 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Michigan Certified Financial Planners Disciplined by CFP Board-Oct 2016 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 OCTOBER 2016, is a historical record of individuals from Michigan 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
Mark J. Carpenter (Ann Arbor)
James Currier (Bloomfield Hills)
Michael T. Fant (Plymouth)
Paul C. French, Jr. (Bangor)
Russell Jalbert (Southfield)
Robert Johnston (Birmingham)
E. David Marande (Grosse Pointe/Sterling Heights)
Brett M. Plew (Kalamazoo)
Mark W. Promack (Clinton Township)
Stanley A. Snider (Detroit)
Curtis L. Whipple (Canton)
Moses Wilson (Troy)

Permanent Relinquishment
Carl P. Kellogg (Ada)

Suspensions
Anthony Agbay (Bloomfield Hills)
William L. Davis (Troy)
Rex D. Foster (East Lansing)
Paul C. French, Jr. (Bangor)
Kenneth M. Harb (Livonia/West Bloomfield)
Shaun Dorr Hampton (Grosse Pointe)
Steve D. Parrett (Escanaba)
Thomas G. Pilch (Northville)
Christopher T. Reid (Rochester Hills)
Dominic J. Sacca (Bloomfield Hills)
Donald J. VanderWeele (Manistee)

Interim Suspension
Mark J. Carpenter (Ann Arbor)

Letters of Admonition
Rodney L. Clark (Tecumseh)
David Philip Globig (Spring Arbor)
John R. Hantz (Southfield)
Sean E. Mattson (South Lyon)
Harold M. Miller (Bay City)

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870