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Public Disciplinary Actions

CFP Board's public disciplinary action can take one of three forms -- a public Letter of Admonition, a temporary suspension of the individual's CFP® certification or a permanent revocation of the individual's CFP® certification -- depending on the severity of the breach, any mitigating or aggravating circumstances, and the individual's cooperation with the Board's investigation.

 

The list below is a historical record of individuals 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, enter the person's last name and state in the "Search for a CERTIFIED FINANCIAL PLANNER™ Professional" function of this Web site.

VIEW DISCIPLINES BY STATE
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Massachusetts
Maryland
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New York
North Carolina
South Carolina
South Carolina
South Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Tennessee
Texas
Utah
Vermont
Virginia
Washington
Wisconsin


ALABAMA
Revocations
Raymond B. Cahoon (Tuscumbia)
Randall M. Hancock (Birmingham)

Letter of Admonition
Sylvia R. Roberts (Mobile)

ALASKA
Letter of Admonition
Sheila D. Miller (Anchorage)

ARIZONA
Revocations
Marilyn M. Brooks (Phoenix)
Jeffrey T. Burrows (Carefree)
Charles E. Conatser (Tucson)
Robert O. Mason (Chandler)
Charles R. Stedman (Tucson)
Randy J. Tudor (Phoenix)

Suspensions
Charles E. Conatser (Tucson)
Glenn S. Cushman (Phoenix)

Letters of Admonition
Gary J. Deardorff (Glendale)
Kelvin William Gold (Phoenix)

ARKANSAS
Suspension
Carla L. Chastain (Rogers)

Letter of Admonition
Henry H. Godbee III (Little Rock)

CALIFORNIA
Revocations
John C. Bergman, Jr. (San Diego)
Steven T. Bissell (Fairfield)
Clyde J. Bruff (Oakland)
David L. Bustrum (Anaheim)
Antoine Doumad (Laguna Hills)
Larry A. Eggers (San Jose/Gilroy)
Robert D. Fuger (La Mesa)
James E. Gasper (La Jolla)
Karl J. Gerlach (Castro Valley)
Michael E. Goldstein (Los Angeles/Beverly Hills)
Tasos C. Hatzimichael (San Diego)
Deborah W. Henke (Newbury Park)
Robert T. Hollero (Los Angeles)
George C. Huff (Novato)
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)
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)
Richard M. Silverstein (La Jolla)
Paul E. Skoczylas (San Francisco)
Anthony R. Sorge (Solana Beach/San Diego)
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)
Gordon K. Williamson (La Jolla)
Brian W. Wright (Encinitas/San Diego)
John W. Wright (San Clemente)

Suspensions
Louis E. Barnes, II (Cayucos)
Lawrence K. Bushey (Ventura)
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)
John J. Gardner (Pleasanton)
David A. Kirkpatrick (Ventura)
Larry I. Klein (Walnut Creek)
Peter M. Landay (Los Angeles)
Gregg R. Leslie (Carlsbad)
Edwin M. Lickiss (Alamo)
Edward A. Maxfield (Desert Hot Springs)
Richard Benn McFarland, Jr. (Watsonville)
Oscar W. Mink (Lake Arrowhead)
Richard F. Norris (Los Angeles)
Rollo Richard Norton, II (San Diego)
Cheryl Nunn (Scotts Valley)
Kunio Okui (Castro Valley)
Leonard A. Robbins (Calabasas)
Igor A. Zey (Los Angeles)
Sheldon G. Zimmerman (San Diego)

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

Letters of Admonition
Libbie Agram (Santa Monica)
Gwendolyn Biggs (Sacramento)
Stephen J. Casa (San Ramon)
Cynthia M. Couyoumjian (Tustin)
Dennis J. DeYoung (Northridge/Tarzana)
Brett S. Ellen (Westlake Village)
Michael E. Goldstein (Los Angeles/ Beverly Hills)
Terry L. Jones (Costa Mesa)
Steven T. Miller (Westlake Village/ Sherman Oaks)
W. Aubrey Morrow (San Diego)
Thomas W. Naylor (San Diego)
Richard J. Shanks (San Diego)
Gary F. Thomas (Redwood City)
Ralph C. Williams (Lancaster)
Frederick M. Woolley (Redlands)

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

COLORADO
Revocations
Vincent E. Barborka (Colorado Springs)
Riley W. Barker (Denver)
Chad A. Carpenter (Denver)
Cary D. Clark (Englewood)
Bruce L. Fleet (Greenwood Village)
David L. Gresty (Aurora)
Nelson C. Krum, Sr. (Denver)
Norman P. Rounds (Boulder)
Michael L. Seat (Broomfield)
James. J. Valasek (Colorado Springs)
Robert L. West (Greenwood Village)
Darrell J. Williams (Colorado Springs)

Suspensions
Charles Battle (Denver)
James F. Glaza (Colorado Springs)
Jeannette A. Howes (Colorado Springs)
Louis W. Welt (Boulder)

Letters of Admonition
Mark A. Cose (Glenwood Springs)
Jim Newcomb (Fort Collins)

CONNECTICUT
Revocations
William R. Barto (Hockessin)
John J. Costello (Stamford)
Richard Garrick (Danbury)
Alan E Grate (Rocky Hill)
Brian T. Lenihan (Darien)
William T. Sears (Waterbury)
Malcolm M. Sklar (Fairfield)
Kenneth P. Wirth (Greenwich)
Todd A. Zonca (Howell)

Suspension
Joel M. Johnson (Wethersfield)
David J. Westbrook

DELAWARE
Revocation
William R. Barto (Hockessin)

FLORIDA
Revocations
Carol M. Allen (Deland)
Kenneth W. Brown (Ocean Ridge/Boca Raton)
Scott Browning (Tampa)
Richard N. Davis (Tampa)
Charles E. Foy (Saint Augustine)
Gregory L. Fuhrman (Englewood)
Jay J. Gelfenbaum (Coral Springs)
Robert N. Gest Jr. (Lighthouse Point)
Joseph E. Giewartowski (Orlando)
Gail G. Griseuk (Saint Petersburg)
Robert Gutner (Boynton Beach)
Robert Hedges (Deerfield Beach)
Kirk F. Henderson (North Palm Beach)
Thomas S. Jackman (Cape Coral)
Robert C. Jensen (Miami Lakes)
Mark P. Koestner (Naples)
David J. Kury (Coral Springs/Lake Butler)
Richard J. Lanigan (Laurel/Port Charlotte)
Thomas R. Lomas (Longwood)
Ramona V. MacKinnon (Naples/Tallahassee)
Clifford W. Maher (Fort Lauderdale)
Allen R. Montgomery (Lakeland)
Blake S. Murray (Deland/Lake Mary)
Robert J. Nies (Saint Petersburg)
Mark E. Nichols (Naples)
Carl W. Nolting (Fort Lauderdale)
Robert J. Papolos (Tallahassee)
Craig P. Scanlon (Madeira Beach)
Brenda M. Scott (Belleair/Clearwater)
C. Douglas Sedlak (Boca Raton)
Brian J. Sheen (Boca Raton)
Donald C. Smith (University Park)
Steven W. Taylor (Stuart)
Frederic W. Tokars (Palm Beach)
David E. Trotter, Sr. (Windermere)
Glen R. Walker (Pinellas Park/Tampa)
Pearlena Wallace (West Palm Beach)
Michael J. Wells (Winter Park)
Richard I. Weise (Naples)
Samuel L. Williams (Lake Worth/Boca Raton)

Suspensions
Fred J. Anderson (Lehigh Acres)
W. Steve Brown (Jacksonville)
Jeffrey Cimbal (Parkland)
Melvyn D. Cohen (Lake Worth)
James B. Evans (Clearwater)
Kenneth A. Friedman (Jasksonville)
Michael C. Gainer (Jacksonville Beach)
Larry L. Galantis (Saint Petersburg)
Frederick G. Gartz (Naples)
Larry C. Hill (Boca Raton)
Scott D. Krause (Windemere)
Bernard E. Ribordy (Seminole)
T. "Jerry" Royer (Altamonte Springs)
Lewis N. Waltzer (Sanibel)
Mark N. Wright (Sarasota)
Herman W. Yurman (Saint Petersburg)

Letters of Admonition
William R. Hutchisson, Jr. (Palm Harbor/ Clearwater)
Matthew E. Marone (St. Petersburg)
William F. Perkins (Tarpon Springs)
Richard T. Salter (Boynton Beach/Juno Beach)
C. Douglas Sedlak (Boca Raton)
Russell Bruce Simmons (Tampa)
Robert G. Yarbrough (Ormond Beach)
William P. Yurkovac (Naples)

GEORGIA
Revocations
Charles B. Davis (Snellville)
Homer W. Forster (Atlanta)
David Edward Marcinko (Norcross)
J. Chandler Peterson (Atlanta)
James S. Quay (Atlanta)
L. Britt Talbert (Norcross)
William R. Wills, III (Douglas)

Suspensions
Randy R. Brunson (Duluth)
Austin C. Cogswell (Atlanta)
Linda King (Atlanta)

Letter of Admonition
John T. Carter (Macon)

HAWAII
Revocations
Jon C. Stanley (Honolulu)
Charles K.H. Wong (Aiea)

IDAHO
Revocation
Larry K. Stoker (Boise)
James Charles Stone (Post Falls)

Suspension
Daniel W. Pinkerton (Coeur d'Alene)

ILLINOIS
Revocations
James E. Bickle (Freeport)
Randy M. Depoister (Dixon)
Nicholas W. Ferlis (Northbrook)
Roger A. Householder (Park Ridge)
James W. Jonen (Hoffman Estates)
Linda K. Kofron (Rockford)
John D. Lauer (Chicago)
James A. Maratea (Park Ridge)
Kenneth Puckett (Palatine)
Michael J. Tomasino (Hoffman Estates)
James A. Tures (Rockford)

Suspensions
Abisoye I. Adekoya (Chicago)
James M. Chen (Bloomingdale)
Robert W. Esch (Alhambra)
Steven Gutow (Des Plains/Rosemont)
Thomas J. Hallman (Frankfort/Orland Park)
Jeffrey D. Stein (Aurora)
Robert D. Tomlinson (Arlington Heights)

Letters of Admonition
Timothy J. Stearns (Arlington Heights)
Norris E. Williamson (Darien)

Permanent Relinquishment
John M. Carlson (Bloomingdale)

INDIANA
Revocations
Michael J. Plummer (Anderson)
David I. Proctor, Jr. (Indianapolis)
Mary L. Sandars (Mishawaka)

Letters of Admonition
Felix M. Diaz (Dyer)
Gary L. Pittsford (Indianapolis)
Deborah E. Romary (Fort Wayne)
Timothy M. Scannell (Valparaiso)

IOWA
Revocations
Dennis A. Hohn (Ottumwa)
Kent W. Larsen (Nevada/Ames)

Suspension
Burnell R. Smith (Dubuque)

KANSAS
Suspension
Ronald W. Reeves (Wichita)

KENTUCKY
Revocations
Robert L. Bootes (Louisville)
Louis A. Carmichael (Lexington)

Letter of Admonition
Brian A. Guilliom (Louisville)

LOUISIANA
Revocation
John P. Miller (Baton Rouge)

MAINE
Revocations
James F. Vigue (Waterville)
Michael L. Hancock (Falmouth)

MARYLAND
Revocations
Linda A. Hodge (Derwood/Gaithersburg)
Michael P. Keating, Sr. (Ellicot City)
Richard D. McGervey (Fort Washington)

Suspension
Steven L. Schippel (Frederick)


MASSACHUSETTS
Revocations
Bradford C. Bleidt (Boston)
Peter C. Bucchieri (Orleans)
Leo R. Burns (Leominister)
Dennis P. Goselin (Worcester)

Suspensions
David P. Gerstenblatt (Newton)
Roger Patch (Topsfeild/Boston)
Gerald P. Stonehouse (Norwell/Hingham)

MICHIGAN
Revocations
Paul C. French, Jr. (Bangor)
Robert Johnston (Birmingham)
E. David Marande (Grosse Pointe/Sterling Heights)
Mark W. Promack (Clinton Township)
Stanley A. Snider (Detroit)
Curtis L. Whipple (Canton)
Moses Wilson (Troy)

Permanent Relinquishment
Carl P. Kellogg (Ada)

Suspensions
William L. Davis (Troy)
Paul C. French, Jr. (Bangor)
Kenneth M. Harb (Livonia/West Bloomfield)
Thomas G. Pilch (Northville)
Donald J. VanderWeele (Manistee)

Letters of Admonition
John R. Hantz (Southfield)
Harold M. Miller (Bay City)

MINNESOTA
Revocation
Christopher A. Lowry (St. Paul)

Letter of Admonition
Michael P. Kaselnak (Rochester)

MISSISSIPPI
Revocations
C. Douglas Gulley, Jr. (Pascagoula)
John H. Romfh (Jackson)

Suspensions
C. Douglas Gulley, Jr (Ocean Springs)
Kenneth M. Harb (Livonia/West Bloomfield)

MISSOURI
Revocations
William B. Alpert (Kansas City)
Richard A. Fitzer (St. Louis)
Michael G. Grimes (St. Louis)
Guido N. Negri (Saint Louis)
David Scott Rankin (Saint Charles)
Jon G. Symon (Kansas City)

Suspension
Lowell A. Roth (O'Fallon)

Letter of Admonition
Christopher J. Jacob (St. Louis)

MONTANA
Revocation
Mark Bachik (Victor)
Suspension
Michael W. Keffler (Lolo)

NEBRASKA
Revocation
David J. Huber (Omaha)

NEVADA
Revocations
Peter C. Bucchieri (Las Vegas)
Rory J. McAuliffe (Las Vegas)
Michael E. Moss (Reno)

NEW HAMPSHIRE
Revocation
David L. Williams (Manchester)

Suspension
George W. Perkins II (Nashua)

NEW JERSEY
Revocations
Stuart Albert (Marlton)
Michael R. Casey (Park Ridge)
Fernando B. Cruz (Linden)
Barbara Edwards (Township of Washington)
Charles J. Muzzio (Red Bank)
Ronald E. Oringer (Flanders)
Kenneth B. Schwartz (Matawan)
Erick P. Spronck (Clinton)

Suspensions
Robert S. Ambrozy (Cranford)
Erik Mosholt (Middletown)
Edward Viano (Vineland)

Letters of Admonition
Robert J. Calamunci (Tinton Falls)
Robert W. Crowther (Ocean)
Steven W. Kaye (Watchung)
Lois W. LaPadula (Mahwah)
Jack A. Moloney (Hoboken)
Robert M. Ryerson (Freehold)
Michael J. Spillert (Parsippany)

NEW YORK
Revocations
Rita Baskin (Long Beach)
Edward A. Borden (Central Islip)
Frank R. Breitweiser (Cuddebackville)
Thomas H. Core (New York)
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)
Steven D. Klein (Lynbrook)
Bryan S. Kogut (Williamsville)
Edward A. Mordini (Garden City)
Richard J. Pisani (Vestal)
Mark William Rager (Geneva)
John A. Reilly (New York)
Brooke Stephens (Brooklyn)
Kevin J. White (Hudson)
Kenneth P. Wirth (Bradford)
Kevin D. Wirth (Yorktown Heights)
Jack R. Wolff (Garden City)

Suspensions
Peter J. Dawson, II (Huntington)
Frank P. Grasso (Sayville)
Jon R. Harrison (Rochester)
Scott G. Klatt (Rochester)
William J. Lucadamo (Bayside)
Scott E. McVicker (Pittsford)
James J. Reilly (Mamroneck)
Kenneth L. Sojka (New Rochelle)
Lewis N. Waltzer (Newburgh)

Letters of Admonition
Harry W. Linindoll III (East Greenbush)
Michael D. Mathias (Mt. Kisco)
Arthur W. Tuttle (Nanuet)

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

NORTH CAROLINA
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)

Letters Of Admonition
R. Brent Dees
William Howard (Davidson)
Gerald T. Summerlin Jr. (Reidsville)

OHIO
Revocations
Ronald J. Bales (The Dalles)
W.A. Douglas Campbell (Columbus)
Timothy O. Cornell (Dayton)
Mark A. Cyphers (Worthington)
Darrel E. DeMarco (Tallmadge)
Thomas J. DeMarco (Chesterland)
Stephen G. Donahue (Cincinnati)
Harry E. Fleischhauer (Cincinnati)
Sandra K. Haines (Lewis Center)
Steven W. Kochensparger (Columbus)
Jay D. Moore (Chagrin Falls)
Joseph T. Nemchik (Amherst)
Craig P. Scanlon (Bratenahl/Independence)

Permanent Relinquishments
Richard A. Daniels (Chagrin Falls)
Samuel G. Morocco (Canfield)

Suspensions
Dennis L. Burgess (Covington)
Ronald J. Gogul (Cleveland)

Letter of Admonition
Robert E. Messinger (Cincinnati)

OKLAHOMA
Revocations
David L. Armstrong (Norman)
Sherry B. Armstrong (Valliant)
Mark D. Icenogle (Tulsa)
James D. Lang, Jr. (El Reno)

OREGON
Revocation
Thomas. D. Kienlen (Springfield)

Letters Of Admonition
Robert L. Keys (Portland)
Damon L. Mayer (Salem)
Robert E. Morris (Hillsboro)
Ronald J. Sloy (Portland)

PENNSYLVANIA
Revocations
Robert J. Bretschneider (Washington Crossing)
Howard S. Coff (Holland)
Adam D. Grodin (Pittsburgh)
Gregory A. Kernechel (Whitehall)
Tonino G. LaBella (Drexel Hill/Philadelphia)
Richard J. Line (Allentown)
Leo M. Megow (Berwyn)
Albert S. Pitts (Media)
Anthony Tarantino (Mechanicsburg)

Suspension
Daniel W. Rooney (Philadelphia)

Letters Of Admonition
Thomas C. Hock (Schnecksville)
Phillip J.W. Miles (Harrisburg)
William T. Neely (Grove City)
David L. Rothman (Trevose)
Theordore G. Rothman (Trevose)

SOUTH CAROLINA
Revocation
John P. Menzo (Prosperity)

Letter of Admonition
Christopher E. Cabri (Charleston)

SOUTH DAKOTA
Letter Of Admonition
Robert P. Steib (Sioux Falls)

TENNESSEE
Revocations
William C. Allen (Memphis)
Larry W. Cherry (Brentwood)
Lyman O. Heidtke (Nashville)
N. Lynn Newell (Chattanooga)
George M. Parrott (Nashville)
William Warren Smith (Memphis)

Permanent Relinquishments
Edward Alan Martin (Franklin)
Scott D. Patterson (Memphis)

Suspensions
Ralph T. Grubb (Johnson City)
Catherine M. Nolen (Nashville)
Brian D. Schrauger (Brentwood)

TEXAS
Revocations
Jeffrey W. Baum (Lubbock)
Farrish E. Betton (Houston)
Jerrell J. Cosby (Fort Worth)
Gordon Fiddes (Arlington)
A. Ken Flake, Sr. (Houston)
John J. Forsberg (Dallas)
Larry B. Groover (Dallas)
Douglas J. Hellie (San Antonio)
A. James Lynn (Dallas)
William H. Matthews (Dallas)
Jay C. Miles (Brenham/Chappel Hill)
Julia Carolyn Norton (San Antonio)
Solomon O. Onita (Houston)
Hymie Orlin (Houston)
Paul O. Ptak (Carrollton)
Ralph R. Rush (El Paso)
Richard J. Suydam (Austin)

Suspensions
Thomas M. Couch Jr. (Houston)
Craig A. Curry (Houston)
Kyle Holland (Austin)
Marianne Springer Miller (San Antonio)
John Howard Towers (Plano)

Letters of Admonition
Douglas Wayne Blankenship (Addison)
Gerald S. Cohn (San Antonio)
Patricia Bisch Green
Greer A. Kendall (Dallas)
MF "Mickey" Long, II (Plano)
Sidney J. Lorio (Bedford)

UTAH
Revocations
Vincent E. Barborka (Provo)
Terrence L. Hansen, Jr. (Salt Lake City)
Kevin D. Kunz (Bountiful)

Suspension
Michael C. Hirschi (Sandy)

VERMONT
Revocation
George A. Rotelli (South Burlington)

Suspension
Robert J. Hudson (Essex Junction)

VIRGINIA
Revocations
Brandon G. Cook (Reston)
Robert Hammerman (Vienna)
Harry H. Horning (Manassas)
Thomas E. Lapple (Annandale)
Michael Allen Whelcel (McLean)
Auldis E. Wright (Richmond)

Suspensions
John W. McMahon (Fairfax)
Ivan H. Riley (Vienna)

Letters of Admonition
Rick R. Looker (Virginia Beach)
Glenn C. Moore (Manassas)

WASHINGTON
Revocations
Richard N. Davis (Spokane)
N. Gordon Frandsen (Seattle)
Gary V. Ingram (Redmond)
Lloyd D. Pankey (Spokane)
M. Greg Sweeney (Spokane)

Suspensions
Randall T. Becker (Bellevue)
David A. Duryee (Seattle)

WISCONSIN
Revocations
Anthony F. Fricano (Brookfield)
Susan L. Jahn (Deerfield)
Jerald D. Newman
Donna M. Vogt (Campbellsport)

Permanent Relinquishment
Thomas Van Tassel (Sparta)

Suspensions
Kelly L. Diestler (Oneida)
Thomas Hodgkiss (Madison)

Letters of Admonition
Edward A. Davig (Holmen)
Leonard Tague Hobert (Brookfield)
Howard H. Schneider (Kewaskum/West Bend)


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Last Updated 5/2007