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North Carolina Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update

North Carolina Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update

North Carolina 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 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 E. Armstrong, Jr. (Raleigh)
James W. Brophy (Winston-Salem)
Blake J. Greiter (Wake Forest)
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)
Craig Taffaro (Charlotte)

Interim Suspension

James Hal Heafner (Charlotte)

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

Public Censure

Peyton K. Gravely, Jr., CFP® (Mount Airy)

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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