Certified Financial Planners Board Disciplines 33 Individuals

Certified Financial Planners Board Disciplines 33 Individuals

Certified Financial Planners Board Disciplines 33 Individuals 150 150 Robert Rex, Esq.

September 2022 Sanctions by Certified Financial Planners Board

According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirements for CFP. “

The CFP Board can discipline those holding the CFP title in a number of ways, in order of increasing severity:

  • Public Censures
  • Suspensions
  • Temporary Bars
  • Permanent Bars
  • Revocations of the right to use the CFP marks

The Certified Financial Planner Board of Standards  announced public sanctions against 33 current or former CFP professionals.

California Thomas Lawrence Russell, CFP® La Jolla Public Censure
Colorado Glenn Kevin Rose, CFP® Aurora Public Censure
Florida Jennifer Basey, CFP® Fort Myers Public Censure
Maryland Johannes Allender, CFP® Gaithersburg Public Censure
New York Michael A. Cook, CFP® Valley Stream Public Censure
New York Joseph A. Gross, CFP® West Sand Lake Public Censure
Texas Douglas D. Horne Richmond Temporary Bar
Arizona Bruce A. Lindvig Scottsdale Suspension
Arkansas Bentley Blackmon Little Rock Suspension
California Thomas L. Rydell Milpitas Suspension
Illinois Timothy F. Knauf Rockford Suspension
Iowa Chris B. Steele Clive Suspension
Louisiana Charles C. Beard, Jr. Shreveport Suspension
Ohio Stephen J. Wall Medina Suspension
California Patrick M. Finkelstein Santa Monica Permanent Bar
Florida David A. Jenson Altamonte Springs Permanent Bar
Florida Roderick L. Whited Gainesville Permanent Bar
Georgia Kendrick G. Smith Pine Mountain Permanent Bar
Maryland Jonathan D. Robbins Potomac Permanent Bar
Massachusetts Adam Westphalen Accord Permanent Bar
New Jersey Paul W. Lascelle Flemington Permanent Bar
New Jersey Nicholas Spagnoletti, Jr. Pomeroy Permanent Bar
North Carolina Raymond Ng Charlotte Permanent Bar
Ohio David J. Campanella Hudson Permanent Bar
Oregon Charles I. Carroll Portland Permanent Bar
Virginia Bobby D. Hines, Jr. Colonial Heights Permanent Bar
Arizona Heather L. Guilliom Tucson Revocation
California Alfred J. Kottman Lincoln Revocation
Colorado Ronald Niederpruem Gunnison Revocation
Indiana Christopher Turean Fishers Revocation
Pennsylvania Michael M. Hartlett Lancaster Revocation
Texas David Lynn Medlin North Richland Hills Revocation
Texas Mark Andrew Trewitt Gordonville Revocation

If you have questions about losses, unauthorized trading or unsuitable investments in your investment account or believe you are a victim of stockbroker malpractice, contact us for a no charge consultation.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 


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