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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 publicly 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 "Verify an Individual's CFP® Certification" function of this website.

Alabama

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Revocations
Raymond B. Cahoon (Tuscumbia)
Randall M. Hancock (Birmingham)
Russell I. Morgan II (Vestavia)
Henry E. Walker (Helena)

Interim Suspension
Henry E. Walker, Jr. (Helena)

Letters of Admonition
Charles J. McCarn (Birmingham)
Bernard R. Michaud (Birmingham)
Sylvia R. Roberts (Mobile)

Suspension
Craig Cohn (Birmingham)

Alaska

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Letter of Admonition
Sheila D. Miller (Anchorage)

Administrative Revocation
Michael W. Shamburger (Anchorage)
Rob E. Wedel (Anchorage)

Arizona

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Administrative Revocation
Caprice Mallett (Phoenix)
Paul Mosley (Lake Havasu City)

Revocations
Marilyn M. Brooks (Phoenix)
Jeffrey T. Burrows (Carefree)
Charles E. Conatser (Tucson)
Christopher J. Dietz (Surprise)
Robert F. Hockensmith (Glendale)
David Lesnick (Goodyear)
Robert O. Mason (Chandler)
Alonzo Russell (Gilbert)
Charles R. Stedman (Tucson)
Randy J. Tudor (Phoenix)

Suspensions
Charles E. Conatser (Tucson)
Glenn S. Cushman (Phoenix)
David B. Garrison (Tonopah)
Stewart A. Gooding (Tucson)
Brian Moltz (Phoenix)
Charles Edwin Taylor (Prescott)
Michelle Lee Wagner (Tempe)

Letters of Admonition
Gary J. Deardorff (Glendale)
David Dick (Tempe)
Kelvin William Gold (Phoenix)
John H. Kroeger (Phoenix)
Frank A. Molinar (Scottsdale)
Mark E. Rauguth (Mesa)
Geoffrey W. White (Tempe)

Arkansas

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Revocations
Dawn M. Hanson (Garfield)
Robert Bragg (Hot Springs Village)

Suspension
Carla L. Chastain (Rogers)
Adam J. Kuettel (Bentonville)

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

California

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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)
Scott A. Van Epps (Sacramento)
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)
M. Franklin Parrish, CFP® (Walnut Creek)
Grant Ter-Avanesyan, CFP® (Dublin)

Administrative Suspension
Michael S. Behner (San Diego)
Thomas J. Breslin (Del Mar)
Patrick Walsh (Westlake Village)

Temporary Bar
Hayato Tamura (Anaheim)

Colorado

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Administrative Revocation
Carol E. Dixon (Longmont)
Neil Maxwell (Aurora)
Derek M. Wolff (Broomfield)

Revocations
Vincent E. Barborka (Colorado Springs)
Riley W. Barker (Denver)
Gordon M. Budreau (Denver)
Chad A. Carpenter (Denver)
Cary D. Clark (Englewood)
John R. Erb (Steamboat Springs)
Bruce L. Fleet (Greenwood Village)
David L. Gresty (Aurora)
Nelson C. Krum, Sr. (Denver)
Brent L. Marvin (Highlands Ranch)
Joe P. Medrano (Denver)
Jeffrey D. Ogle (Littleton)
Norman P. Rounds (Boulder)
Michael L. Seat (Broomfield)
Andrew C. Slocum (Snowmass Village)
James. J. Valasek (Colorado Springs)
Rick D. VanVleet (Fort Collins)
Robert L. West (Greenwood Village)
Darrell J. Williams (Colorado Springs)

Suspensions
Charles Battle (Denver)
Carol E. Dixon (Longmont)
Scott P. Evans (Glendale)
Kent A. Fairweather (Denver)
James F. Glaza (Colorado Springs)
Jeannette A. Howes (Colorado Springs)
Scott B. Nelson (Lone Tree)
Louis W. Welt (Boulder)
Devon A. Wright (Golden)

Interim Suspensions
Ken A. Balser (Colorado Springs)
Scott P. Evans (Glendale)
Neil Maxwell (Parker)
Andrew D. Slocum (Snowmass Village)

Letters of Admonition
Mark A. Cose (Glenwood Springs)
Brian D. Havermann (Arvada)
Jason G. Hovde (Castle Rock)
Jim Newcomb (Fort Collins)
Dale Payne (Colorado Springs)
Christopher S. Scott (Colorado Springs)
Martin T. Streetman (Castle Rock)
Jeffrey S. Torrison (Lakewood)
Patricia W. Wier (Boulder)

Public Censure
Jeffrey A. Grimes, CFP® (Colorado Springs)
Jonathan Hoelscher, CFP® (Westminster)

Connecticut

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Administrative Revocations
Steven A. Cohen (Brookfield)
Charla C. Kabana (Huntington Beach)
George L. Taylor (Litchfield)

Revocations
William R. Barto (Hockessin)
John J. Costello (Stamford)
Richard Garrick (Danbury)
Alan E Grate (Rocky Hill)
Matthew Lechner (Westport)
Brian T. Lenihan (Darien)
Noah L. Myers (Lyme)
William T. Sears (Waterbury)
Malcolm M. Sklar (Fairfield)
Michael John Smeriglio, III (Greenwich)
Kenneth P. Wirth (Greenwich)
Todd A. Zonca (Howell)

Suspensions
Joel M. Johnson (Wethersfield)
David J. Scranton (Westbrook)

Interim Suspensions
Noah L. Myers (Lyme)
Michael John Smeriglio III (Greenwich)

Letters of Admonition
Dale R. Aldieri (Middletown)
Kyle Egress (West Hartford)
Robert J. Fortier (Chester)
Gregory W. Kearney (Fairfield)
Edwin A. Toth (Cheshire)

Delaware

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Revocation
William R. Barto (Hockessin)

District of Columbia

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Administrative Suspension
Marie Isabel Laurion, (Washington)

Florida

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Administrative Revocations
Marc H. Baldinger (Stuart)
Guarionex Berrido (Miami)
Joseph M. Browne (Jacksonville Beach)
Anthony Cottone (Del Ray Beach)
Michael J. DeBoer (Spring Hill)
Kristin Engebrethson (Tampa)
William Gross (Highland Beach)
Larry C. Grossman (Palm Harbor)
Michael D. Hanke (Lutz)
Judy Healy (Melbourne)
Stuart Horowitz (Coral Springs)
Jim Nguyen (St. Petersburg)
Jamie D. Pope (Winter Park)
Andrew G. Rosenberg (Weston)
Edward Santos (Pembrooke Pines)
Ronald W. Vaught (Melbourne)
John P. Wheeler (St. Petersburg)
Steven E. Zerbarini (Safety Harbor)

Revocations
Carol M. Allen (Deland)
Diane L. Barriga (Parkland)
Kenneth W. Brown (Ocean Ridge/Boca Raton)
Scott Browning (Tampa)
Richard N. Davis (Tampa)
Robert A. Dow (Melbourne)
Charles E. Foy (Saint Augustine)
Gregory L. Fuhrman (Englewood)
Jay J. Gelfenbaum (Coral Springs)
Robert N. Gest Jr. (Lighthouse Point)
Joseph E. Giewartowski (Orlando)
Thomas J. Gregory (Maitland)
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)
Marcus R. Michles (Winter Park)
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)
Aaron R. Parthemer (Fort Lauderdale)
Bruce Pivar (Naples)
Walter P. Priebe (Fort Lauderdale)
Nicholas J. Ruggeri (Clearwater)
Craig P. Scanlon (Madeira Beach)
Brenda M. Scott (Belleair/Clearwater)
David E. Sears (Nokomis)
C. Douglas Sedlak (Boca Raton)
Brian J. Sheen (Boca Raton)
Neal S. Smalbach (Palm Harbor)
Jack Stevison, Jr. (Laud By Sea)
Donald C. Smith (University Park)
Sandee G. Tanner (Brooksville)
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)

Denial of CFP® Certification
Christopher V. Eardley (Ocala)

Suspensions
Fred J. Anderson (Lehigh Acres)
Juan Jose Barberis (Jacksonville)
W. Steve Brown (Jacksonville)
Jeffrey Cimbal (Parkland)
Melvyn D. Cohen (Lake Worth)
Adam S. Deane (Naples)
James B. Evans (Clearwater)
Mario J. Ferrari (Boca Raton)
Kenneth A. Friedman (Jasksonville)
Michael C. Gainer (Jacksonville Beach)
Larry L. Galantis (Saint Petersburg)
Frederick G. Gartz (Naples)
Bryan S. Girgenti (Altamonte Springs)
Henry T. Goode (Melbourne)
Michael Hanke (Lutz)
Christopher Haysley (Lake Mary)
Larry C. Hill (Boca Raton)
Scott D. Krause (Windemere)
Robert D. Lovett (Coral Springs)
Andrew W. MacGill (Tampa)
Lynne Marcus (Boynton Beach)
Jason Robert Piepmeier (Plantation)
Bernard E. Ribordy (Seminole)
T. "Jerry" Royer (Altamonte Springs)
Riad Shanawany (Tamarac)
Jason E. Stephens (Naples)
Kitwana Thomas (Jacksonville)
Nicolas S. Toadvine (Lakeland)
Lewis N. Waltzer (Sanibel)
Bruce M. Weinstein (Boca Raton)
William G. Whitcomb (Fort Myers)
Bruce E. Winter (Boca Raton)
Mark N. Wright (Sarasota)
Herman W. Yurman (Saint Petersburg)

Interim Suspensions
Diane L. Barriga (Parkland)
Brian G. Doherty (Naples)
David A. Jenson (Altamonte Springs)
Jamie D. Pope (Winter Park)
Neal S. Smalbach (Palm Harbor)
Ronald W. Vaught (Melbourne)
Bruce M. Weinstein (Boca Raton)
William G. Whitcomb (Fort Myers)

Letters of Admonition
James A. Barry, Jr. (Highland Beach)
Jeffrey M. Camarda (Orange Park)
Kimberly K. Camarda (Orange Park)
Jason K. Chepenik (Winter Park)
Robin S. Davis (Stuart)
Duncan C. DeWahl (Maitland)
Nathaniel Goldenberg (Tampa)
Kirk L. Gravelle (Jacksonville)
Richard Happle (Tampa)
William R. Hutchisson, Jr. (Palm Harbor/Clearwater)
Jeffrey Janson (Naples)
Nicholas P. Krsnich (West Palm Beach)
Robert R. Liggero (Atlantic Beach)
Mark A. Lurz (Bradenton)
Matthew E. Marone (St. Petersburg)
Thomas W. Markowsky (Orlando)
Stephen D. Ostrofsky (Boca Raton)
William F. Perkins (Tarpon Springs)
Richard T. Salter (Boynton Beach/Juno Beach)
C. Douglas Sedlak (Boca Raton)
Steve I. Shrago (Sun City Center)
Russell Bruce Simmons (Tampa)
Christopher F. Wendland (Fort Myers)
Robert G. Yarbrough (Ormond Beach)
William P. Yurkovac (Naples)

Public Censure
Aaron Cherry, CFP® (Tampa)
James A. Colley, CFP® (Lake Placid)
Ross Loehr, CFP® (Atlantic Beach)
Thomas A. Walsh, CFP® (Sarasota)

Administrative Suspension
Paul Clough (Sebring)
Frank W. Hubbell, III (Lady Lake)
Winston G. Mollena (Longwood)

Temporary Bar
Kevin Cantwell (Sound Beach)

Georgia

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Administrative Revocations
Brian G. Brown (Atlanta)
Craig E. Lewis (Gainesville)
F. Stephen Lambert (Decatur)
Christopher S. Laws (Alpharetta)
David Harrison Miller (Atlanta)
Allen L. Mitchell (Decatur)
Casaline Woods (Douglasville)

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)
Jay L. Thacker (Atlanta)
Aubrey E. Vaughan III (Roswell)
William R. Wills, III (Douglas)

Suspensions
John E. Anderson (Senoia)
Randy R. Brunson (Duluth)
Austin C. Cogswell (Atlanta)
Philip D. Cox, Jr. (Atlanta)
Ike Ikokwu (Alpharetta)
Linda King (Atlanta)
John A. Locke (Atlanta)
Joseph R. Rollins (Atlanta)
Richard A. Sampley (Atlanta)
Mark J. Stevens (Roswell)
Abigail M. Whittle (Roswell)

Interim Suspensions
Craig E. Lewis (Gainesville)
Aubrey E. Vaughn, III (Atlanta)

Letters of Admonition
Lisa R. Boone (Atlanta)
Darold C. Brooks (Marietta)
Wesley C. Brumfield (Alpharetta)
John T. Carter (Macon)
Ryan Cox (Columbus)
Mark E. Davis (St. Simons Island)
Kim. L. McDougall (Atlanta)
Stephen K. Simpson (Macon)
Brian Sullivan (Alpharetta)

Public Censure
R. Stephen Lane, CFP® (Decatur)

Germany

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Letter of Admonition
Barry E. Swanson (Heidelberg)

Hawaii

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

Letters of Admonition
Edward T. Coda (Honolulu)
J. Michael Vaughn (Lahaina)

Idaho

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Revocations
Patrick McKeown (McCall)
Larry K. Stoker (Boise)
James Charles Stone (Post Falls)

Suspension
Daniel W. Pinkerton (Coeur d'Alene)
Brian Slattery (Boise)

Illinois

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Administrative Revocation
Terence Marable (Palos Park)

Revocations
George E. Arocha (Kankakee)
James E. Bickle (Freeport)
Randy M. Depoister (Dixon)
Nicholas W. Ferlis (Northbrook)
Dan Glick (Orland Park)
Roger A. Householder (Park Ridge)
James W. Jonen (Hoffman Estates)
Linda K. Kofron (Rockford)
John D. Lauer (Chicago)
James A. Maratea (Park Ridge)
Daniel McGarry (Geneva)
Algird M. Norkus (Oak Brook)
Kenneth Puckett (Palatine)
Michael J. Tomasino (Hoffman Estates)
James A. Tures (Rockford)
James VanHam (Naperville))

Suspensions
Abisoye I. Adekoya (Chicago)
Gregory H. Bray (Alton)
James M. Chen (Bloomingdale)
Robert W. Esch (Alhambra)
Scott F. Goldman (Arlington Heights)
Steven Gutow (Des Plains/Rosemont)
Thomas J. Hallman (Frankfort/Orland Park)
Joel Robert Heffington (Hinsdale)
Richard P. Hohol (Roselle)
William F. Kovacic (Palos Heights)
Lynda C. Paul (Gurnee)
David W. Schlossberg (East Dundee)
Jeffrey D. Stein (Aurora)
Robert D. Tomlinson (Arlington Heights)

Interim Suspensions
William F. Kovacic (Palos Heights)
Algrid M. Norkus (Oak Brook)
Thomas E. Stamborski (North Barrington)

Letters of Admonition
Sue Ann Appleby (Belvidere)
George E. Arocha (Bourbannais)
Phillip C. Coad (Mount Prospect)
Donald G. Heatherly (Wheaton)
Richard Konst (Chicago)
John O. Miller (Lemont)
Timothy J. Stearns (Arlington Heights)
Norris E. Williamson (Darien)

Permanent Relinquishment
John M. Carlson (Bloomingdale)

Public Censure
Larry Johnson, CFP® (Itasca)

Administrative Suspension
Norbert Filian (Hoffman Estates)

Indiana

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Revocations
Shawn Dunn (Highland)
Louis J. Mohlman (Leo)
Dawn L. Muldrow (Indianapolis)
Michael J. Plummer (Anderson)
David I. Proctor, Jr. (Indianapolis)
Mary L. Sandars (Mishawaka)
Annette Tamsey Moore (Mishawaka)

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

Suspension
David M. DeWitt (Indianapolis)

Iowa

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Revocations
Stephen William Connolly (Earlham)
Donald G. DeWaay Jr. (Clive)
Dennis A. Hohn (Ottumwa)
Kent W. Larsen (Nevada/Ames)

Suspensions
Mark A. Geertsma (Independence)
Dwight W. Moats (Cherokee)
Burnell R. Smith (Dubuque)
Chris B. Steele (West Des Moines)

Letter of Admonition
John S. Tuve (Waterloo)

Public Censure
Tiffany Lensch (Bettendorf)

Kansas

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Revocations
Larry Lee Crawford (North Newton)
John M. Kittle (Wichita)
Mark A. Schneider (Topeka)

Suspensions
Mark P. Cussen (Overland Park)
Ronald W. Reeves (Wichita)
Timothy R. Rodgers (Overland Park)

Interim Suspension
Mark A. Schneider (Topeka)

Letter of Admonition
Shawn M. Wyatt (Hutchinson)

Kentucky

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

Suspensions
Scott A. Brooks (Edgewood)
Brian A. Guilliom (Waddy)
Lee C. Helmers (Lexington)
Alfred D. Holland (Nancy)
Roy Dwane Johnson (Raceland)
Hampton Scurlock, III (Lexington)

Letters of Admonition
Brian A. Guilliom (Louisville)
Garrett Lee Headley (Lexington)
Scott C. Mann (Florence)

Louisiana

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Administrative Revocation
Walter A. Morales (Baton Rouge)

Revocation
John P. Miller (Baton Rouge)

Suspension
James Keith Cox (Baton Rouge)
C. Michael Dowden (Baton Rouge)

Maine

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

Letter of Admonition
R. Kenneth Lindell (Bangor)
John R. O'Malley (Lewiston)

Temporary Bar
James Loeser (Saco)

Maryland

Top
Administrative Revocation
Lee A. Ambramovitz (Baltimore)
Sharon J. Fall (Chester)
William W. Gammon (Towson)
Cory D. Williams (Monkton)

Revocations
Erik Bohn (Bethesda)
Thomas S. Greeves (Rockville)
Linda A. Hodge (Derwood/Gaithersburg)
Michael P. Keating, Sr. (Ellicot City)
J.J. Jaso (Marriottsville)
Richard D. McGervey (Fort Washington)

Suspensions
Kathy W. Gordon (Snow Hill)
Lisa Herman (Bethesda)
Steven L. Schippel (Frederick)
Justin K. Wine (St. Michaels)

Interim Suspension
Sharon J. Fall (Chester)

Letters of Admonition
Anne Marie C. Albertine (Bethesda)
Gregory K. Bowser (Abingdon)
Brandon Croxton (Baltimore)
Christopher T. Holcomb (Severn)
William I. Kissinger (Cockeysville)
James R. Klima (Columbia)

Permanent Bar
William Dixon (Urbana)
Daniel Jossen (Bethesda)
John Sullivan (Ellicot City)

Massachusetts

Top
Administrative Revocation
Paul E. Hess (Braintree)
Thomas T. Riquier (Danvers)
Lee D. Weiss (Boston)
Michael K. Young (Marlborough)

Revocations
Anthony J. Bille (Hopkinton)
Bradford C. Bleidt (Boston)
Peter C. Bucchieri (Orleans)
Leo R. Burns (Leominster)
Dennis P. Goselin (Worcester)
William B. Smith (Grafton)

Suspensions
Brian K. Case (Longmeadow)
David P. Gerstenblatt (Newton)
Katherine Horgan (Osterville)
Philip C. McMorrow (Methuen)
Robert L. O'Neil (Medford)
Roger Patch (Topsfield/Boston)
Larry M. Post (Boston)
Swan S. Shen (Andover)
Gerald P. Stonehouse (Norwell/Hingham)
Marc H. Sussman (Framingham)

Interim Suspension
Michael Breton (Waltham)
Gerald A. Eaton (Acton)

Letters of Admonition
Dawna Berube (Methuen)
Richard A. Connell (Hingham)
David C. Valente (Norwell)
Nathan Zielonka (Newton)

Administrative Permanent Bar
Gerald Eaton (Acton)

Public Censure
Alan P. Siegel, CFP® (North Easton)

Michigan

Top
Administrative Revocation
David E. Ferwerda (Grand Rapids)
Andrew L. Schade (Lansing)

Revocations
Mark J. Carpenter (Ann Arbor)
James Currier (Bloomfield Hills)
Michael T. Fant (Plymouth)
Paul C. French, Jr. (Bangor)
Russell Jalbert (Southfield)
Robert Johnston (Birmingham)
E. David Marande (Grosse Pointe/Sterling Heights)
Brett M. Plew (Kalamazoo)
Mark W. Promack (Clinton Township)
Stanley A. Snider (Detroit)
Curtis L. Whipple (Canton)
Moses Wilson (Troy)

Permanent Relinquishment
Carl P. Kellogg (Ada)

Suspensions
Anthony Agbay (Bloomfield Hills)
Anthony N. Cook (Bloomfield Hills)
William L. Davis (Troy)
Rex D. Foster (East Lansing)
Paul C. French, Jr. (Bangor)
Kenneth M. Harb (Livonia/West Bloomfield)
Shaun Dorr Hampton (Grosse Pointe)
Steve D. Parrett (Escanaba)
Thomas G. Pilch (Northville)
Christopher T. Reid (Rochester Hills)
Dominic J. Sacca (Bloomfield Hills)
Donald J. VanderWeele (Manistee)

Interim Suspensions
Mark J. Carpenter (Ann Arbor)
David C. Ferwerda (Grand Rapids)

Letters of Admonition
David Brian Altwerger (Bloomfield)
Rodney L. Clark (Tecumseh)
David Philip Globig (Spring Arbor)
John R. Hantz (Southfield)
Sean E. Mattson (South Lyon)
Harold M. Miller (Bay City)

Permanent Bar
Daniel Cadez, Jr. (New Boston)

Minnesota

Top
Administrative Revocations
F. Christopher Piatt (Bloomington)
Michael Severance (Loretto)
Kevin P. Smith (Edina)
Brian R. Trygstad (Minneapolis)
Lance J. Ziesemer (Wayzata)

Revocations
Jon Palmer Brown (Bloomington)
Christopher A. Lowry (St. Paul)
Barbara J. Stark (Eden Prairie)
Bruce D. Workman (Hamel)

Suspensions
David E. Hitchcock (Spring Lake Park)
Daniel M. Myers (Woodbury)
Kevin M. Nevin (St. Louis Park)
Christopher A. Root (Edina)
Robert Smrekar (Minneapolis)
Lance J. Ziesemer (Waconia)

Interim Suspensions
F. Christopher Piatt (Bloomington)
Michael R. Severance (Loretto)
Barbara J. Stark (Eden Prairie)

Letter of Admonition
Greg M. Ferguson (Edina)
Kelly F. Guncheon (Minnetonka)
Michael P. Kaselnak (Rochester)

Public Censure
Michael J. Corbett, CFP® (Osseo)
Michael J. Haglin (Hopkins)

Mississippi

Top
Revocations
C. Douglas Gulley, Jr. (Pascagoula)
Richard D. Powell (Clarksdale)
John H. Romfh (Jackson)

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

Missouri

Top
Administrative Revocations
John Scott Elliott (Kansas City)
Jodi Lynn Hall (Brentwood)
Robert A. Kahn (Chesterfield)
James W. Smith (Creve Coeur)
Robert P. Stansberry (Columbia)

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

Suspensions
Sheldon Jay Harber (St. Louis)
Lowell A. Roth (O'Fallon)
Douglas A. Siebert (St. Louis)
D. Robin Walker (Verona)

Interim Suspensions
Jodi Lynn Hall (Brentwood)

Letters of Admonition
Michael L. Bohannon (Sikeston)
Dennis A. Haubert, Jr. (Columbia)
Christopher J. Jacob (St. Louis)

Montana

Top
Revocations
Mark Bachik (Victor)
Randall G. Knowles (Great Falls)

Suspensions
Michael W. Keffler (Lolo)
Thomas E. Schaap (Omaha)

Letter of Admonition
Daniel L. Chamberlin (Helena)

Nebraska

Top
Revocations
David J. Huber (Omaha)
Thomas E. Schaap (Omaha)

Letter of Admonition
Ken J. Koubsky (Omaha)

Administrative Suspension
Stephen A. Callahan (Crawford)

Permanent Bar
Mark R. Lookabill (Omaha)

Nevada

Top
Administrative Revocation
Blanche S. Berenzweig (Las Vegas)
Wesley W. Griffin (Sparks)

Revocations
Peter C. Bucchieri (Las Vegas)
Rory J. McAuliffe (Las Vegas)
Leslie A. Morpeth (Las Vegas)
Michael E. Moss (Reno)
Richard C. Dergance (Las Vegas)

Suspensions
Michael D. Bayliss (Carson City)
Doyle H. Brown (Reno)
Richard D. LaSpaluto (Las Vegas)
Jacqueline H. Thornhill (Las Vegas)

Letters of Admonition
Deborah D. Carter (Las Vegas)
Daniel H. Hughes (Las Vegas)
Julia Sohn (Henderson)

Public Censure
Carolyn L. Lumley, CFP® (Las Vegas)

New Hampshire

Top
Revocation
David L. Williams (Manchester)

Suspension
George W. Perkins II (Nashua)

Letter of Admonition
Steven F. St. Pierre (Manchester)

Public Censure
Catrina Lynn Rastonis, CFP® (Hooksett)

New Jersey

Top
Administrative Revocation
Timothy J. McGee (Ocean City)
Sean Refsnider (Collingswood)
Samuel K. Van Allen (Milford)

Revocations
Stuart Albert (Marlton)
Michael R. Casey (Park Ridge)
Fernando B. Cruz (Linden)
Barbara Edwards (Washington Township)
Rebecca A. Huntley (West Long Branch)
Kevin R. Johnson (Princeton)
Cynthia A. Murphy (Montclair)
Charles J. Muzzio (Red Bank)
Ronald E. Oringer (Flanders)
Laure A. Scaturo (Millstone)
Kenneth B. Schwartz (Matawan)
Erick P. Spronck (Clinton)
Barbara L. Steinberg (Livingston)
Daniel J. Trolaro (East Hanover)
Sandra M. Venetis (Branchburg)

Interim Suspensions
Brian P. Carr (Chatham)
Dennis S. Lerner (Edgewater)
Daniel J. Trolaro (Oakland)
Sandra M. Venetis (Branchburg)
Joseph M. Whitney (Mahwah)

Suspensions
Robert S. Allen (Secaucus)
Robert S. Ambrozy (Cranford)
Diana A. Behre (Hackettstown)
Joseph P. Canciglia, III (Hillsdale)
Brian P. Carr (Chatham)
Tai Yuan Chen (Warren)
Thomas E. Connors (Toms River)
Jordan Crowley (Wyckoff)
Jared S. Friedman (Scotch Plains)
Ryan Keller (Middletown)
James Kinney (Lawrenceville)
Dennis Lerner (Edgewater)
Erik Mosholt (Middletown)
Peter G. Neuberg (Chester)
Elliot J. Paul (Haddonfield)
Edward Viano (Vineland)

Letters of Admonition
Robert J. Calamunci (Tinton Falls)
Diana A. Cook (Rochelle Park)
Robert W. Crowther (Ocean)
Steven W. Kaye (Watchung)
Lois W. LaPadula (Mahwah)
Jack A. Moloney (Hoboken)
Paul Perino, Jr. (Vineland)
Robert J. Richards, Jr. (Toms River)
Philip F. Rutigliano (Garfield)
Robert M. Ryerson (Freehold)
Michael J. Spillert (Parsippany)

Public Censure
Elise Marie Cece, CFP® (Wayne)
Vincent J. Colubiale, CFP® (Wall Township)
Raymond M. Daino (Cedar Grove)
Alexander Panas, CFP® (Morristown)

Temporary Bar
Robert A. High (Montvale)

New Mexico

Top
Administrative Revocation
Beverly Bailey (Rio Rancho)

Suspension
Thomas Martin(Santa Fe)

New York

Top
Administrative Revocations
Hector A. May (Orangeburg)

Revocations

Rita Baskin (Long Beach)
Michael Roy Blueweiss (Huntington Station)
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)
Larry B. Hughes (Brooklyn)
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)
Travis R. Nelson (Merrick)
Richard J. Pisani (Vestal)
Edward D. Puttick (Setauket)
Mark William Rager (Geneva)
John A. Reilly (New York)
Brooke Stephens (Brooklyn)
Eric P. Storberg (Staten Island)
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)

Suspensions
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)

Administrative Suspensions
Anthony Anzalone (New York)
Carl Serafino (New York)

North Carolina

Top
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)

Ohio

Top
Administrative Revocations
Sam Aziz (Powell)
Raymond Erker (Westlake)
Drew K. Horter (Mason)
Carolyn C. Kaufman (Hudson)
Douglas S. Miller (Toledo)
Michael J. Zembala (Beachwood)

Revocations
W.A. Douglas Campbell (Columbus)
Timothy O. Cornell (Dayton)
Mark A. Cyphers (Worthington)
Darrel E. DeMarco (Tallmadge)
Michael Richard De Marco (West Chester)
Thomas J. DeMarco (Chesterland)
Stephen G. Donahue (Cincinnati)
Roger C. Faubel (Youngstown)
Harry E. Fleischhauer (Cincinnati)
Sandra K. Haines (Lewis Center)
Michael Iannarino (Columbus)
Timothy W. Hyde (Canton)
Julie M. Jarvis (Upper Arlington)
Steven W. Kochensparger (Columbus)
Jason C. Lohnes (Dublin)
Jay D. Moore (Chagrin Falls)
Edwin P. Morrow (Middletown)
Joseph T. Nemchik (Amherst)
Craig P. Scanlon (Bratenahl/Independence)
Jeffrey Shoffer (Toldeo)

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

Suspensions
Tyler Beard (Cincinnati)
Jeffrey G. Best (Westerville)
Michael C. Brady (Falls)
Dennis L. Burgess (Covington)
Matthew Michael Casey (Toledo)
Gino N. Chiappetta (Millbury)
Steven R. French (Cincinnati)
Ronald J. Gogul (Cleveland)
Howard A. Slater (Solon)
Brian L. Stephan (Jamestown)
Michael A. Thein (Dayton)

Interim Suspensions
Sam Aziz (Powell)
Raymond A. Erker (Westlake)
Timothy W. Hyde (Canton)
Julie M. Jarvis (Upper Arlington)
Carolyn C. Kaufman (Hudson)
Douglas S. Miller (Toledo)
Patrick J. Sullivan (Loveland)

Letters of Admonition
Scott Everhart (Dublin)
Konstantinos G. Georgostathis, CFP® (Columbus)
William R. Henzey (Olmstead Falls)
Kevin K. Kroskey (North Royalton)
Paul T. McCormack (Beachwood)
Robert E. Messinger (Cincinnati)
Kenneth R. Reeves (Painesville)
Matthew Romeo (Dublin)
Charles Zsarnay (Toledo)

Public Censure
Jason S. John, CFP® (Powell)
Patrick M. Morrison, CFP® (Cincinnati)

Administrative Suspension
Edmund F. Bosse (Cleveland)
Timothy P. Jarvis (Lancaster)
Steven L. Meier (Columbus)
Christopher J. Selka (Norwalk)
Julie Weekley (Columbus)
Christopher Wendel (Celina)

Temporary Bar
Matthew Maxwell (Avon Lake)

Permanent Bar
Richard A. Earls, Sr. (Fairfield Township)

Oklahoma

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

Letter of Admonition
Michael P. Dunham (Oklahoma City)

Permanent Bar
Thavaselan Subramaniam (Tulsa)

Oregon

Top
Revocations
Ronald J. Bales (The Dalles)
Timothy T. Bean (Portland)
David W. Gwynn (Eugene)
Thomas. D. Kienlen (Springfield)
Jo Rae Perkins (Albany)

Interim Suspension
Nathan D. Oeming (Eugene)

Letters Of Admonition

Jeffrey O. Briggs (Bend)
Michael Joseph Eugenio (Lake Oswego)
Stuart L. Funke (West Linn)
Shawn P. Gergen (Eugene)
Robert L. Keys (Portland)
Damon L. Mayer (Salem)
Robert E. Morris (Hillsboro)
John J. Mulligan (Tigard)
Maro A. Paz (Bend)
Ronald J. Sloy (Portland)

Suspension
Jon Eric Barber (Tualatin)
Nathan M. Oeming (Eugene)
Justin Williams (Portland)

Permanent Bar
Gary G. Linkous (Welches)

Temporary Bar
Adam Brooks (Bend)

Pennsylvania

Top
Administrative Revocation
James Dresselaers (Tannersville)
Thomas E. Omark (Erie)

Revocations
Robert J. Bretschneider (Washington Crossing)
Daryll D. Claxton (Havertown)
Howard S. Coff (Holland)
Richard O. Dorman, Jr. (Pittsburgh)
R. Glen Eichman (Bethlehem)
Adam D. Grodin (Pittsburgh)
Timothy A. Hanna (Bridgeville)
Gregory A. Kernechel (Whitehall)
Tonino G. LaBella (Drexel Hill/Philadelphia)
Richard J. Line (Allentown)
Leo M. Megow (Berwyn)
James A. Owen (Easton)
Albert S. Pitts (Media)
Craig M. Shine (Monroeville)
Anthony Tarantino (Mechanicsburg)
Robert C. Wheeling (Lititz)

Suspensions
Bradley K. Adams (Newtown)
Akio L. Bley (Gladwyne)
Anthony Diaz (Scotrun)
James Vincent Cipriotti (Radnor)
David V. Erickson (Chambersburg)
Matthew R. Hilbert (Jenkintown)
Paul G. Liebezeit (Berwyn)
James P. O’Mara (York)
Richard J. Pankowski (Gibsonia)
Daniel W. Rooney (Philadelphia)
Gary J. Siano (Downingtown)
Theodore P. Williams (East Earl)

Interim Suspension
Daryll D. Claxton (Havertown)
Timothy A. Hanna (Bridgeville)
William Reynard (King of Prussia)
Gordon D. Smith (Johnstown)

Letters Of Admonition
Robert S. Beck (Philadelphia)
Jay M. Desai (York)
Larry W. Farmbry (Bala Cynwyd)
Deborah S. Giffin (McMurray)
Timothy Higgins (Harrisburg)
Thomas C. Hock (Schnecksville)
Stephen A. Kelbick, CFP® (Blue Bell)
Phillip J.W. Miles (Harrisburg)
William T. Neely (Grove City)
David L. Rothman (Trevose)
Theodore G. Rothman (Trevose)

Administrative Suspension
Robert E. Kauffman (Lancaster)
Joseph DeMuro, Jr. (Camp Hill)

Temporary Bar
Timothy Higgins (Harrisburg)

Rhode Island

Top
Interim Suspension
John A. Licciardello (Providence)

Suspensions
David F. Brochu (Providence)
Charles E. O'Hara, IV (Newport)

Letter Of Admonition
Emilio J. Senesi, Jr. (Cranston)

South Carolina

Top
Administrative Revocations
Randy L. Alford (Conway)
Lloyd Dotson (Pawley’s Island)
Benjamin Galloway (Columbia)
Jason A. Schall (Charleston)
Robert Stewart (Okatie)

Revocations
Barry S. Capps (Myrtle Beach)
Ronald Jefferson Davis (Mt. Pleasant)
John P. Menzo (Prosperity)
Oren E. Sullivan (Rock Hill)

Suspensions
Wayne Cassaday (Mount Pleasant)
Brett Fellows (Mt. Pleasant)
Matthew Clary Smith (Spartanburg)

Interim Suspensions
Randy Alford (Conway)
Ronald Jefferson Davis (Mount Pleasant)
Benjamin Galloway (Columbia)

Letters of Admonition
Christopher E. Cabri (Charleston)
Rick M. Higgins (Spartanburg)
Emmet Martin (Greenville)
Lawrence E. Murphy (Hilton Head)

South Dakota

Top
Letter Of Admonition
Robert P. Steib (Sioux Falls)

Tennessee

Top
Revocations
William C. Allen (Memphis)
David P. Antypas (Franklin)
Larry W. Cherry (Brentwood)
Gala Gorman (Brentwood)
William King (Knoxville)
Martha J. C. Hawk (Bloutville)
Lyman O. Heidtke (Nashville)
Bryce Patrick Jenney (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)
Edwin H. Jaffe (Memphis)
Aon Miller (Chattanooga)
Catherine M. Nolen (Nashville)
Catherine V. Quinn (Nashville)
Brian D. Schrauger (Brentwood)

Interim Suspension
Bryant Caveness (Kingsport)
Martha J.C. Hawk (Blountville)
William D. King (Knoxville)

Letters of Admonition
Russell Darin Hurley (Chattanooga)
Peggy Jo Rouillier (Nashville)

Administrative Revocation
Bryant Caveness (Kingsport)

Texas

Top
Administrative Revocations
Mikeal A. Alligood (Fort Worth)
Jason K. Feinglas (Sunnyvale)
Marcus C. Rodriguez (Houston)
Cecil Ross (San Angelo)
Larry Templin (Temple)
Tye C. Williams (Frisco)

Revocations
Nicole Y. Allen (Dallas)
Charles I. Alvarez (Houston)
Jeffrey W. Baum (Lubbock)
Yamara Beck (San Antonio)
Farrish E. Betton (Houston)
Texas Craig R. Brockman (Plano)
Robert Carpenter (Wylie)
Benjamin Lane Carrick (Dallas)
Mark W. Chuckran (Spring)
Jerrell J. Cosby (Fort Worth)
David Disraeli (Cedar Park)
Kathryn B. Farland (Plano)
Gordon Fiddes (Arlington)
A. Ken Flake, Sr. (Houston)
John J. Forsberg (Dallas)
Larry B. Groover (Dallas)
Carol A. Hearn (Waller)
Douglas J. Hellie (San Antonio)
Jarrod R. Leisure (Frisco)
A. James Lynn (Dallas)
William H. Matthews (Dallas)
Jay C. Miles (Brenham/Chappell Hill)
Julia Carolyn Norton (San Antonio)
Solomon O. Onita (Houston)
Hymie Orlin (Houston)
Trajko Papuckoski (Carrollton))
Paul O. Ptak (Carrollton)
Lawrence L. Richter (San Antonio)
Terrence P. Riely (San Antonio)
Ralph R. Rush (El Paso)
Richard J. Suydam (Austin)
Brian P. Troy (Keller)
Travis D. Wakeley (Hurst)
George M. Warner (Rowlett)

Suspensions
Noor Amirali (Houston)
Matthew J. Anderson (Austin)
Brian W. Armstrong (Cleburne)
Gilbert J. Baker (Houston)
C. W. Biggs (Denton)
Richard D. Blair (Bee Cave)
Russell K. Childs (Spring)
Thomas M. Couch Jr. (Houston)
Craig A. Curry (Houston)
Daniel G. Dillard (Austin)
Kenneth W. Dresel (Midland)
Daniel P. Hensley (San Antonio)
Kyle Holland (Austin)
Carl E. Jones (Euless)
M.F. “Mickey” Long (Plano)
Texas Lance R. McCollum (Itasca)
Marianne Springer Miller (San Antonio)
Wade L. Neyland (Marquez)
Tan Nhat Pham (Houston)
Jeremy B. Stauss (Fort Worth)
John Howard Towers (Plano)
Roger D. Stevenson (San Benito)
George Warner (Rowlett)

Interim Suspensions
Harlan T. Cardwell, III (Vernon)
Lawrence A. deShetler (Spring)
Patrick K. Hobbs (Dallas)
Larry J. Templin (Temple)
Brian P. Troy (Keller)
George M. Warner (Rowlett)
Tye C. Williams (Frisco)

Letters of Admonition
Douglas Wayne Blankenship (Addison)
Donald H. Christie (Waco)
Gerald S. Cohn (San Antonio)
Kerwyn N. Escayg (Webster)
Paul E. Ferraresi (Bellaire)
Alan Goldfarb (Dallas)
Patricia Bisch Green (Houston)
Travis Hughes (El Paso)
Greer A. Kendall (Dallas)
MF "Mickey" Long, II (Plano)
Sidney J. Lorio (Bedford)
Sharon R. Luker (Plano)
Paul Brian Millsap (Austin)
Linnie Logan Phebus (Austin)
Keith D. Powell (Austin)
Lee A. Przybyla (San Antonio)
David L. Rhodes (Bryan)
Brian W. Sak (Magnolia)
Joshua W. Strittmatter, CFP® (Fort Worth)
Sean C. Thomas (Grapevine)
George M. Warner (Rockwall)

Public Censure
Mohammed Awadalla (Austin)
Adam Frey, CFP® (San Antonio)
Jonathan M. Hurley, CFP® (Fort Worth)
Donald Lee Laseter, CFP® (Dallas)
Harold G. Minton, CFP® (Houston)

Utah

Top
Administrative Revocation
Laurence D. Black (Park City)
Chad E. Loveland (Saint George)

Revocations
Vincent E. Barborka (Provo)
Terrence L. Hansen, Jr. (Salt Lake City)
Brian Y. Horne (Centerville)
Kevin D. Kunz (Bountiful)
David P. Soper (Salt Lake City)

Suspensions
Michael C. Hirschi (Sandy)
Mark R. Miller (South Jordan)

Interim Suspension
Gregory N. Peterson (Orem)

Letters of Admonition
Robert P. Aamodt (Farmington)
Gary L. Barker (Salt Lake City)
Arthur J. Smithee (Orem)

Temporary Bar
Donald Blair (Midvale)

Vermont

Top
Revocation
George A. Rotelli (South Burlington)

Suspensions
Carol A. Geske (South Burlington)
Robert J. Hudson (Essex Junction)

Public Censure
Mark C. Giometti, CFP® (Warren)

Virginia

Top
Administrative Revocation
Edward S. Gay (Mechanicsville)

Revocations
James A. Avery (Mechanicsville)
Michael J. Bennington (Danville)
Brandon G. Cook (Reston)
John R. Graves (Fredericksburg)
Robert Hammerman (Vienna)
Harry H. Horning (Manassas)
Thomas E. Lapple (Annandale)
G. Frederick Leamnson (Reston)
Douglas Stopkey (Richmond)
Michael Allen Whelcel (McLean)
Auldis E. Wright (Richmond)

Suspensions
Jeffrey S. Geraci (Virginia Beach)
Lloyd T. Layton (Dumfries)
Roshan A. Loungani (Vienna)
John W. McMahon (Fairfax)
Ivan H. Riley (Vienna)

Interim Suspension
John R. Graves (Fredericksburg)

Letters of Admonition
Franklin D. Butler, Jr. (Mechanicsville)
Michael P. Duprey (Alexandria)
Jacqueline Hanson (Leesburg)
Rick R. Looker (Virginia Beach)
Jacqueline Hanson (Waterford)
Glenn C. Moore (Manassas)
Roxanne K. Villarreal (Reston)

Public Censure
Tami Aloisa, CFP® (Virginia Beach)
Charles B. Atwill, CFP® (Richmond)
Peter Burnham (Ashburn)

Administrative Suspension
Joshua Stamm (Lynchburg)

Washington

Top
Administrative Revocation
David J. Roskoph (Gig Harbor)

Revocations
Richard N. Davis (Spokane)
N. Gordon Frandsen (Seattle)
Gary V. Ingram (Redmond)
Graham L. Mac Donald (Bellingham)
Philip E. Multop (Bellingham)
Lloyd D. Pankey (Spokane)
M. Greg Sweeney (Spokane)

Suspensions
Randall T. Becker (Bellevue)
David A. Duryee (Seattle)
Ingrid M. Gintz (Reston)
Jacqueline M. Jacobsen (Clinton)
Candy J. Lee (Seattle)
Brian J. Lockett (Seattle)
William M. Swayne, II (Seattle)

Letter of Admonition
Kevin R. Bonner (Burien)
Kevin L. Daniel, Jr., CFP® (Seattle)

Public Censure
Stefan R. Persson (Seattle)

Wisconsin

Top
Administrative Revocations
William F. Kramer (Waukesha)
Christopher D. Kline (Prairie Du Sac)
Monica B. Phillip (Milwaukee)
Michael A. Zolondek (Mauston)

Revocations
Anthony F. Fricano (Brookfield)
Susan L. Jahn (Deerfield)
Eric D. Kallies (Fitchburg)
Derek McSherry (Lake Geneva)
Jerald D. Newman
James E. Putnam (Menasha)
Donna M. Vogt (Campbellsport)

Permanent Relinquishment
Thomas Van Tassel (Sparta)

Suspensions
Kelly L. Diestler (Oneida)
Scott G. Dolven (Pewaukee)
Jeffrey L. Elverman (Genoa City)
Thomas Hodgkiss (Madison)
Annie L. McGrath (Madison)
John R. Tufts (Madison)

Interim Suspensions
David J. Norwood (De Pere)
James E. Putman (Menasha)

Letters of Admonition
Edward A. Davig (Holmen)
Leonard Tague Hobert (Brookfield)
Scott A. Larsen (Kenosha)
Howard H. Schneider (Kewaskum/West Bend)
Craig M. Siminski (Green Bay)
Christina V. Winch (Appleton)

Last Updated: 9/2021