CFP Board Disciplinary Actions by State (2022)

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)
Heather L. Guilliom (Tucson)
Robert F. Hockensmith (Glendale)
David Lesnick (Goodyear)
Robert O. Mason (Chandler)
Alonzo Russell (Gilbert)
Charles R. Stedman (Tucson)
Randy J. Tudor (Phoenix)

Suspensions
Tom Atchison (Phoenix)
Charles E. Conatser (Tucson)
Glenn S. Cushman (Phoenix)
David B. Garrison (Tonopah)
Stewart A. Gooding (Tucson)
Robert F. Keats (Phoenix)
Bruce A. Lindvig (Scottsdale)
Brian Moltz (Phoenix)
Guilford W. Nergard (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)

Administrative Suspensions
Matthew Sansone (Scottsdale)

Temporary Bar
Brent W. Barnes (Chandler)

Arkansas

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

Suspension
Bentley Blackmon (Little Rock)
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)
Gary Bowman (Huntington Beach)
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
Michael J. Altobell (Rocklin)
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)
Alfred J. Kottman (Lincoln)
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)
Ronald Niederpruem (Gunnison)
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)
Michael E. Denzinger (Newport Beach)
David A. Dickson (Orangevale)
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)
Thomas L. Rydell (Milpitas)
Max J. Safdie (Mill Valley)
Douglas K. Shannep (San Diego)
Jeffrey Stanga (Aliso Viejo)
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 M. Egan (Alhambra)
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)
Mark A. Gilbert, CFP® (Santa Monica)
Derrik J. Hubbard®, (Valencia)
M. Franklin Parrish, CFP® (Walnut Creek)
Thomas Lawrence Russell, CFP® (La Jolla)
Grant Ter-Avanesyan, CFP® (Dublin)

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

Temporary Bar
Murray Todd Petersen, (Roseville)
Hayato Tamura (Anaheim)

Administrative Permanent Bar
Michelle R. Maccio (Beverly Hills)
Gregory W. McCloskey (Newport Beach)

Administrative Temporary Bar
Amy Hung (Santa Clara)

Permanent Bar
Patrick M. Finkelstein (Santa Monica)

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
Gregory R. Anderson, CFP® (Denver)
Jeffrey A. Grimes,CFP® (Colorado Springs)
Jonathan Hoelscher, CFP® (Westminster)
Glenn Kevin Rose, CFP® (Aurora)

Permanent Bar
Brandon Self (Colorado Springs)

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)

Permanent Bar
James Hyland, (Farmington)

Administrative Temporary Bar
Paul Valickus (Enfield)

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)
Steven F. Libby (Ocala)
Jim Nguyen (St. Petersburg)
Jamie D. Pope (Winter Park)
Andrew G. Rosenberg (Weston)
Edward Santos (Pembrooke Pines)
Ralph Schlosser (Largo)
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)
Iva Hauck Girtman (Bushnell)
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)
Edward L. Stahley, Jr. (Rockledge)
Gerard F. Stellwagen (Venice)
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)
Nathaniel Goldenberg (Lithia)
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. JensonJamie 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
Jennifer Basey, CFP® (Fort Myers)
Matthew M. Chancey® (Tampa)
Aaron Cherry, CFP® (Tampa)
James A. Colley, CFP® (Lake Placid)
Paul A. Finocchiaro, CFP® (Tampa)
Ross Loehr, CFP® (Atlantic Beach)
Jennifer Todd Nash, CFP® (Tallahassee)
Joseph A. Tuffley (Bradenton)
Thomas A. Walsh, CFP® (Sarasota)

(Video) Understanding and Applying the CFP Board's New Code of Ethics and Standards of Conduct

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

Temporary Bar
Kevin Cantwell (Sound Beach)

Permanent Bar
Marshall D. Gunn, Jr. (Jacksonville)
David A. Jenson (Altamonte Springs)
Roderick L. Whited (Gainesville)

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)
Sapna B. Patel (Lawrenceville)
Casaline Woods (Douglasville)

Revocations
Charles B. Davis (Snellville)
Homer W. Forster (Atlanta)
David Edward Marcinko (Norcross)
Daniel Motherway, (Marietta)
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)
Debasish Hajra (Marietta)
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
Michael D. Hostetler, CFP® (Marietta)
R. Stephen Lane, CFP® (Decatur)
Andres M. Romero, CFP® (Atlanta)

Permanent Bar
Kendrick G. Smith (Pine Mountain)

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)
Timothy F. Knauf (Rockford)
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)
Robert Lyman, CFP® (Barrington)

Administrative Suspension
Norbert Filian (Hoffman Estates)
Gerald A. Schmitt (New Lenox)

Administrative Permanent Bar
James E. Stahel (Crystal Lake)

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)
Christopher Turean (Fishers)

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

Top

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 (Clive)

Letter of Admonition
John S. Tuve (Waterloo)

Public Censure
Tiffany Lensch (Bettendorf)

Kansas

Top

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)

Temporary Bar
Gregory Hanshew (Emporia)

Kentucky

Top

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

Top

Administrative Revocation
Walter A. Morales (Baton Rouge)

Revocation
John P. Miller (Baton Rouge)

Suspension
Charles C. Beard, Jr. (Shreveport)
James Keith Cox (Baton Rouge)
C. Michael Dowden (Baton Rouge)

Maine

Top

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

(Video) FPA Eliminates Its Standards Of Care And Code Of Ethics Requirements

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)
Jonathan D. Robbins (Potomac)
John Sullivan (Ellicot City)

Interim Suspension
Kevin T. Hutt, CFP® (Columbia)

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)

Permanent Bar
Adam Westphalen (Accord)

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)
James A. Watts, (Belmont)
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)
Nathan D. Sealey, (Clarkston)
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)
Beth Ann DeBouvre (Saint Clair Shores)

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)
Robert J. Hannah® (Mound)

Administrative Temporary Bar
Brian S. Stern (Eden Prairie)

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)
Scott S. Niekamp (Wildwood)
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)

Public Censure
Ryan C. Judd®, (Wentzville)

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)

Administrative Temporary Bar
Brett S. Ellen (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)

(Video) CFP® Certificant Connection Webinar 4/19/2022

New Jersey

Top

Administrative Revocation
Charles C. Leonard (Haddonfield)
Timothy J. McGee (Ocean City)
M. Imran Rana (Township of Washington)
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)
Daniel J. Leonetti, (Marlton)
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)
David Yow-Shang Chiueh (East Hanover)
Dennis S. Lerner (Edgewater)
Daniel J. Trolaro (Oakland)
Sandra M. Venetis (Branchburg)

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)
Robert M. Ryerson (Freehold)
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)

Administrative Suspension
Louis S. Abrams (Newton)

Administrative Permanent Bar
Joseph R. Soccio (West Caldwell)

Permanent Bar
Paul W. Lascelle (Flemington)
Nicholas Spagnoletti, Jr. (Pomeroy)

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)
Allan Katz (Staten Island)
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)
David Samet, (Spring Valley)
Kenneth L. Sojka (New Rochelle)
Dean Stephens (Seaford)
Stephen F. Tripodi (Williamsville)
Lewis N. Waltzer (Newburgh)
James Wright , (New York)

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)
Michael A. Cook, CFP® (Valley Stream)
Joseph A. Gross, CFP® (West Sand Lake)
Jared Reinstein, CFP® (Ballston Lake)

Permanent Bar
Stephen C. Furno (Brooklyn)

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

Administrative Permanent Bar
Bruce A. Mazo (Rhinebeck)
Elliott Bruce Nadel (New York)

Temporary Bar
Henry Yu Yeung Li (Bayside)

Administrative Temporary Bar
Jai Ramsawak (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)
David B. MacLaren, CFP® (Kernersville)

Permanent Bar
Raymond Ng (Charlotte)

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)
Stephen J. Wall (Medina)

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
David J. Campanella (Hudson)
Richard A. Earls, Sr. (Fairfield Township)

Administrative Temporary Bar
R. David Riedy (Sandusky)

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
Charles I. Carroll (Portland)
Gary G. Linkous (Welches)

Temporary Bar
Adam Brooks (Bend)

Public Censure
Edward Hassan, CFP® (Astoria)
Trevor Looney, CFP® (Tigard)

Administrative Revocation
Jeremy T. Armitage (Happy Valley)

Pennsylvania

Top

Administrative Revocation
James Dresselaers (Tannersville)
Robert J. Knox (Du Bois)
Thomas E. Omark (Erie)
William T. Reynard (King of Prussia)

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)
Michael M. Hartlett (Lancaster)
Timothy A. Hanna (Bridgeville)
Gregory A. Kernechel (Whitehall)
Albert J. Krauza, Jr., (Morrisville)
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)
Kenneth S. Raymond (McMurray)
Daniel W. Rooney (Philadelphia)
Timothy Seiders, (Landsale)br />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)

Public Censure
Daniel Weimer, CFP® (Mars)

Temporary Bar
David Paul Carson (Lancaster)
Timothy Higgins (Harrisburg)

(Video) First Look At CFP Board’s Revised Proposal For Professional Standards Of Conduct

Permanent Bar
J.C. Morrow (Washington)

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)

Public Censure
Richard A. Ranone, CFP®, (Cranston)

Permanent Bar
Robert J. Sclama (North Providence)

South Carolina

Top

Administrative Revocations
Randy L. Alford (Conway)
Lloyd Dotson (Pawley’s Island)
Dean Perez Elmer Greenville)
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)
Arthur W. Rich, (Aiken)
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

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Letter Of Admonition
Robert P. Steib (Sioux Falls)

Tennessee

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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
Richard L. Carman (Memphis)
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
Randall Scott Boll (Old Hickory)
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

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Administrative Revocations
Mikeal A. Alligood (Fort Worth)
Jason K. Feinglas (Sunnyvale)
Brian K. Hobbs (Dallas)
Marcus C. Rodriguez (Houston)
Cecil Ross (San Angelo)
Ryan K. Scott (Lebanon)
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)
Harlan T. Cardwell, III (Vernon)
Robert Carpenter (Wylie)
Benjamin Lane Carrick (Dallas)
Mark W. Chuckran (Spring)
Jerrell J. Cosby (Fort Worth)
Daniel G. Dillard (Austin)
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)
David Lynn Medlin (North Richland Hills)
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)
Mark Andrew Trewitt (Gordonville)
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)

Temporary Bar
Douglas D. Horne (Richmond)
Gregory P. Morgan (Coppell)

Utah

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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)

Administrative Temporary Bar
Kevin G. Bauer (Park City)

Vermont

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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

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Administrative Revocation
Edward S. Gay (Mechanicsville)

Revocations
James A. Avery (Mechanicsville)
Michael J. Bennington (Danville)
Brian Bogart (McLean)
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)

Permanent Bar
Bobby D. Hines, Jr. (Colonial Heights)

Washington

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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)
Martin Sobolewski (Shoreline)
William M. Swayne, II (Seattle)

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

Public Censure
Melinda Crary, CFP® (Mountlake Terrace)
Stefan R. Persson (Seattle)

Wisconsin

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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)

(Video) Disciplinary Actions for Urban Meyer and Gene Smith

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)

Permanent Bar
Lori Ann Sacco, (Wauwatosa)

Videos

1. Fiduciary Regulations: Year in Review
(wagnerlawgroup)
2. Why CFP Professionals Can’t Just Say They’re A CFP
(Michael Kitces)
3. Proposed Revisions to CFP Board’s Standards of Professional Conduct
(Certified Financial Planner Board of Standards)
4. Regulation Best Interest: How Will Reg BI Shape Industry Practices?
(Salem Center for Policy)
5. Avoiding HIDDEN & Tricky Charges from Financial Advisors: Tax Tips
(CunninghamLegal)
6. CFP Board 2021 Public Awareness Campaign Preview
(Certified Financial Planner Board of Standards)

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