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 September 2021, is a historical record of individuals from Maine 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.
James F. Vigue (Waterville)
Michael L. Hancock (Falmouth)
Letter of Admonition
R. Kenneth Lindell (Bangor)
John R. O’Malley (Lewiston)
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.
Florida-561 391 1900