Georgia Financial Planners Disciplined
The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Georgia who have been disciplined by CFP Board and does not imply that any listed discipline is currently in force. To verify an individual’s current certification status visit the CFP website here.
According to their website, the “Certified Financial Planner (CFP)
Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirements for CFP. “
The CFP Board can discipline those holding the CFP title in one of three ways:
- Public Letter of Admonition
- Temporary Suspension of CFP
certification - Revocation of individual’s CFP
certification
Administrative Revocations
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
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)
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)
If you have questions about your investment account or investment losses that you have suffered, contact us for a no charge consultation to learn how you may recover losses through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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