Last Updated: November 2023
The Certified Financial Planner (CFP) Board
According to their website, “For 50 years, CERTIFIED FINANCIAL PLANNER™ certification has been the standard of excellence for financial planners. CFP® professionals have met extensive training and experience requirements, and commit to CFP Board’s ethical standards that require them to put their clients’ interests first.”
“If you’re already in the financial services profession, earning the CERTIFIED FINANCIAL PLANNER™ certification is a proven investment in your future. Whether you’re looking to further your career in financial planning or complement your other qualifications, earning CFP® certification sets you apart from the competition.”
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
CFP Board Sanctions
The CFP has three forms of disciplinary actions:
- Public Letter of Admonitions
- Temporary Suspension of CFP certification
- Permanent Revocation of CFP certification
Texas Administrative Revocations of CFP Certification
- 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)
Texas Revocations of CFP Certification
- 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)
- Paul E. Ferraresi (Bellaire)
- Gordon Fiddes (Arlington)
- A. Ken Flake, Sr. (Houston)
- John J. Forsberg (Dallas)
- Michael Giannetti (Grapevine)
- Larry B. Groover (Dallas)
- Carol A. Hearn (Waller)
- Douglas J. Hellie (San Antonio)
- Stephen Y. Kwan (Spicewood)
- Jarrod R. Leisure (Frisco)
- A. James Lynn (Dallas)
- William H. Matthews (Dallas)
- Douglas McKelvey (South Lake)
- 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))
- John Poulos (Colleyville)
- 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)
Texas Suspensions of CFP Certification
- 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)
- Alexander D. Cohen (Dallas)
- 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)
Texas Interim Suspensions of CFP Certification
- Harlan T. Cardwell, III (Vernon)
- Lawrence A. deShetler (Spring)
- Patrick K. Hobbs (Dallas)
- Stephen Y. Kwan (Spicewood)
- John Poulos (Colleyville)
- Larry J. Templin (Temple)
- Brian P. Troy (Keller)
- George M. Warner (Rowlett)
- Tye C. Williams (Frisco)
Texas Letters of Admonition- CFP Certification
- 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)
Texas Censure and Bar- CFP Certification
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
- Ronald Addison Caldwell Jr. (San Antonio)
- Eddy Gomar (Spring)
- Douglas D. Horne (Richmond)
- Gregory P. Morgan (Coppell)
Permanent Bar
- Annetta Marie Box (Plano)
- Ernest Frerking (Austin)
Recover Investment Losses With Rex Securities Law
If you have suffered investment losses in an account handled by a broker or financial advisor, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
