New York Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update

New York Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update

New York Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Rex Securities Law

UPDATED September 2021

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 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.

Administrative Revocations

Hector A. May (Orangeburg)

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)
Victor Lee (Bayside)
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)

Morris Armstrong (Yorktown Heights)
William V. Canale, II (Niskayuna)
Matthew Champion (Clay)
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)
Robert M. Krieger (New York City)
William J. Lucadamo (Bayside)
Robert A. Magliulo (Manhasset)
Raymond Martin (Saratoga Springs)
Scott E. McVicker (Pittsford)
Raymond A. Menna (Mount Sinai)
Jaime Paige Nelson (New York)
Ronald S. Reale (Jericho)
James J. Reilly (Mamroneck)
Kenneth L. Sojka (New Rochelle)
Dean Stephens (Seaford)
Stephen F. Tripodi (Williamsville)
Lewis N. Waltzer (Newburgh)

Interim Suspensions
Morris Armstrong (Yorktown Heights)
Victor Lee (Bayside)
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)
Josette L. Greechan (Armonk)
John P. Hannan (Skaneateles)
Harry W. Linindoll III (East Greenbush)
Bryan Mackey (Buffalo)
Michael D. Mathias (Mt. Kisco)
Edward Papier (New York)
Brian Taggart (Saint James)
Arthur W. Tuttle (Nanuet)

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

Public Censure

David Beston, CFP® (New York)

Permanent Bar

Stephen C. Furno (Brooklyn)

If 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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