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California Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

California Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

California Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Rex Securities Law

Sanctioned California Financial Planners

The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from California 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.

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

Administrative Revocations
Tiffany Peacock Asakawa (Huntington Beach)
Cernan A. Bernardo (Chula Vista)
William Scott Bray (Monterey)
Jacob K. Cooper (San Diego)
Harry F. Couglar (San Diego)
Joel D. Davidman (Los Angeles)
Charles Henry Frieda (Anaheim)
Leonard I. Heller (San Ramon)
Alex M. Huang (Vallejo)
Eric W. Kuchel (Brea)
Richard LaBare (Rancho Mirage)
Kenneth Lindell (Santa Rosa)
Ash Narayan (Irvine)
Dale F. Norton (Newhall)
Marco Rivera (Windsor)

Revocations
Deborah Sue Anderson (La Quinta)
Robert E. Barth (Laguna Niguel)
Martin D. Batstone (San Diego)
Gene Baynes (San Diego)
John C. Bergman, Jr. (San Diego)
Steven T. Bissell (Fairfield)
Clyde J. Bruff (Oakland)
David L. Bustrum (Anaheim)
Donald R. Carter (San Diego)
Thomas W. Chandler (Fresno)
Timothy J. Clyman (Encinitas)
Linda S. Cornish (Santa Clara)
Robin Davidson (Santa Barbara)
Antoine Doumad (Laguna Hills)
Larry A. Eggers (San Jose/Gilroy)
Warren V. Einolander (Lompoc)
Jeffrey A. Forrest (San Luis Obispo)
Michael R. Frager (La Jolla)
Robert D. Fuger (La Mesa)
James E. Gasper (La Jolla)
Karl J. Gerlach (Castro Valley)
Michael E. Goldstein (Los Angeles/Beverly Hills)
Shawn R. Gutierrez (Yuba City)
Jack A. Harriman (Monrovia)
Tasos C. Hatzimichael (San Diego)
Deborah W. Henke (Newbury Park)
Robert T. Hollero (Los Angeles)

Stephen J. Hoshimi (Newport)
George C. Huff (Novato)
Larry Klein (Walnut Creek)
Patrick J. Kuhse (San Diego)
Roder L. Latham (Apple Valley)
Frank W. Leonesio (Beach)
Hugh M. Liddle, Jr. (Martinez/Sonora)
Jeffrey R. Ludes (Novato/San Rafael)
Donald D. Lukens (Camarillo)
B. Peter Maddern (Riverbank)
Thomas V. Meaglia (Irvine)
Duane L. McBride (Escondido/San Diego)
Diane M. Miller (San Diego)
Michael J. Moore (Garden Grove/Stanton)
Sean Taylor Moore (Temecula)
Ray A. Nakatani (Anaheim)
Stephen E. Prout (Fresno)
Scott Richards (Los Angeles)
James T. Riner (Redlands)
Mark D. Romano (Lakewood)
Ronald E. Salda (Irvine/Santa Ana)
R. David Sanborn (Los Angeles/Burbank)
Gary “Gar” W. Satrom (Sacramento)
Richard L. Sawyer (San Diego)
June B. Sayer (San Diego)
Clark O. Schafer (Oakland)
Fred A. Schluep (Red Bluff and San Mateo)
Raoul G. Sevelius (Chico)
Richard M. Silverstein (La Jolla)
Anthony R. Sorge (Solana Beach/San Diego)
Carlo J. Sparacino (Trabuco Canyon)
Donald K. Speirs (Santa Ynez)
Charles L. Sterling (Irvine)
Howard P. Tangler (San Clemente)
Jimmy W. Villalobos (La Mesa)
William H. Watson, III (San Jose)
R. Steven Wilkinson (Oakland)
Gordon K. Williamson (La Jolla)
Brian W. Wright (Encinitas/San Diego)
John W. Wright (San Clemente)
Richard M. Yacko (San Diego)
Russell Wayne Young (Irvine)

Suspensions
Louis E. Barnes, II (Cayucos)
W. Jon Bettis (Carlsbad)
Ryan N. Bowers (San Diego)
Lawrence K. Bushey (Ventura)
Walter Chao (San Mateo)
Susan C. Cromwell (Valencia)
Alain S. Corcos (Westlake Village)
Robert M. Dahlstedt (Castro Valley/San Ramon)
Brett S. Ellen (Westlake Village)
Carl A. Engele (Bakersfield)
Garry A. Estrada (Murrieta)
Robert L. Farley (Visalia)
David L. Gabai (West Hills)
Gary Gardner (Walnut Creek)
John J. Gardner (Pleasanton)
David Larkin George (Carlsbad)
Jeffery S. Gurman (Los Angeles)
Alin Hovhanessian (Sherman Oaks)
David A. Kirkpatrick (Ventura)
Larry I. Klein (Walnut Creek)
Jeffrey A. Laberge (San Diego)
Peter M. Landay (Los Angeles)
Tommy Sai Lau (Irvine)
Gregg R. Leslie (Carlsbad)
Edwin M. Lickiss (Alamo)
King S. Lip (San Francisco)
Dickson Lo (San Bruno)
Ryan Logan (Newport Beach)
Michael J. Lucia (San Diego)
Paul R. Mata (Rancho Cucamonga)
Fielder J. Mattox (Cardiff)
Edward A. Maxfield (Desert Hot Springs)
Richard Benn McFarland, Jr. (Watsonville)
Oscar W. Mink (Lake Arrowhead)
Kenneth G. Mosbey (Westlake Village)
Michael B. Mulvihill (San Jose)
Mark A. Nordbrock (Santa Monica)
Richard F. Norris (Los Angeles)
Micheal Ono (La Mirada)
Stephen M. Rice (Los Gatos)
Rollo Richard Norton, II (San Diego)
Cheryl Nunn (Scotts Valley)
Kunio Okui (Castro Valley)
Robert J. Regan (Danville)
Leonard A. Robbins (Calabasas)
Michael T. Ryan (Santa Ana)
Max J. Safdie (Mill Valley)
Douglas K. Shannep (San Diego)
Angelo Talebi (Sherman Oaks) Al Tatro (Rolling Hills Estates)
Steve Weinberger (Los Angeles)
Jerod A. Wurm (Roseville)
Igor A. Zey (Los Angeles)
Sheldon G. Zimmerman (San Diego)

Interim Suspensions
Michael J. Altobell (Roseville)
Jacob K. Cooper (San Diego)
Harry F. Couglar (San Diego)
Patrick Finkelstein (Santa Monica)
Jeffrey A. Forrest (San Obispo)
Charles Henry Frieda (Anaheim)
David L. Gabai (West Hills)
Eric W. Kuchel (Brea)
Richard LaBare (Rancho Mirage)
Ash Narayan (Irvine)
Dale F. Norton, Jr. (Newhall)
Max J. Safdie (Mill Valley)

Delay of CFP® Certification
Eric C. Howie (Santa Clara)

Letters of Admonition
Andrew Abas, CFP® (Irvine)
Ralph J. Adamo (Newport Beach)
Libbie Agram (Santa Monica)
Gwendolyn Biggs (Sacramento)
Grant Blindbury (Westlake Village)
Julie A. Bower (Newport Beach)
Stephen J. Casa (San Ramon)
Thomas Chandler (Granite Bay)
Cynthia M. Couyoumjian (Tustin)
Jordan Davis, CFP® (San Francisco)
Dennis J. DeYoung (Northridge/Tarzana)
David A. Dickson (Orangevale)
Kable M. Doria (Roseville)
Brett S. Ellen (Westlake Village)
Steven E. Fairchild (Gold River)
Alvin W. Gebhart (Fallbrook)
Darin Gibson (Irvine)
Michael E. Goldstein (Los Angeles/Beverly Hills)
Richard J. Griswold (Simi Valley)
Leonard I. Heller (San Ramon)
Richard D. Holdway (Palm Springs)
David B. Hooks (Camarillo)
Craig Alan Horner (San Diego)
Terry L. Jones (Costa Mesa)
Harold S. Kern (San Jose)
Theodore A. Lange (Carlsbad)
Gregory McCloskey (Irvine)
Ernest J. Miars (Carlsbad)
Steven T. Miller (Westlake Village/Sherman Oaks)
W. Aubrey Morrow (San Diego)
Thomas W. Naylor (San Diego)
Jason Owyang, CFP® (Irvine)
Iain P. Reilly (San Diego)
Edward A. Rusowicz (Irvine)
Richard J. Shanks (San Diego)
Dean C. Tellone (Anaheim)
Gary F. Thomas (Redwood City)
Ralph C. Williams (Lancaster)
Frederick M. Woolley (Redlands)

Permanent Relinquishments
Michael A. Bowers (Escondido)
Phillip Kohlmeyer (Pleasant Hill)

Public Censure
Kevin W. Burkle, CFP® (Neptune Beach)
Charles D. Etzweiler, CFP® (San Diego)
Grant Ter-Avanesyan, CFP® (Dublin)

Administrative Suspension
Michael S. Behner (San Diego)
Thomas J. Breslin (Del Mar)

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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Rex Securities Law

TollFree: 877-224-3199

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