Investor Alert: CFP Board’s Public Disciplinary Action

Public Disciplinary Action List

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®certification.

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 below list below is a historical record provided on the CFB Boards website of the individuals who have been disciplined by the CFP Board:

ALABAMA
Revocations
Raymond B. Cahoon (Tuscumbia)
Randall M. Hancock (Birmingham)
Henry E. Walker (Helena)
Interim Suspension
Henry E. Walker, Jr. (Helena)
Letters of Admonition
Bernard R. Michaud (Birmingham)
Sylvia R. Roberts (Mobile)

ALASKA
Letter of Admonition
Sheila D. Miller (Anchorage)

ARIZONA
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)
Letters of Admonition
Gary J. Deardorff (Glendale)
David Dick (Tempe)
Kelvin William Gold (Phoenix)
Mark E. Rauguth (Mesa)
Geoffrey W. White (Tempe)

ARKANSAS
Revocation
Dawn M. Hanson (Garfield)
Robert Bragg (Hot Springs Village)
Suspension
Carla L. Chastain (Rogers)
Letter of Admonition
Henry H. Godbee III (Little Rock)

CALIFORNIA
Administrative Revocation
William Scott Bray (Monterey)
Revocations
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)
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)
Paul E. Skoczylas (San Francisco)
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)
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)
Lawrence K. Bushey (Ventura)
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)
John J. Gardner (Pleasanton)
David Larkin George (Carlsbad)
David A. Kirkpatrick (Ventura)
Larry I. Klein (Walnut Creek)
Peter M. Landay (Los Angeles)
Gregg R. Leslie (Carlsbad)
Edwin M. Lickiss (Alamo)
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)
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)
Leonard A. Robbins (Calabasas)
Michael T. Ryan (Santa Ana)
Max J. Safdie (Mill Valley)
Douglas K. Shannep (San Diego)
Al Tatro (Rolling Hills Estates)
Jerod A. Wurm (Roseville)
Igor A. Zey (Los Angeles)
Sheldon G. Zimmerman (San Diego)
Interim Suspensions
Jacob K. Cooper (San Diego)
Jeffrey A. Forrest (San Obispo)
David L. Gabai (West Hills)
Max J. Safdie (Mill Valley)
Delay of CFP® Certification
Eric C. Howie (Santa Clara)
Letters of Admonition
Ralph J. Adamo (Newport Beach)
Libbie Agram (Santa Monica)
Gwendolyn Biggs (Sacramento)
Stephen J. Casa (San Ramon)
Dennis J. DeYoung (Northridge/Tarzana)
David A. Dickson (Orangevale)
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)
David B. Hooks (Camarillo)
Craig Alan Horner (San Diego)
Terry L. Jones (Costa Mesa)
Harold S. Kern (San Jose)
Theodore A. Lange (Carlsbad)
Ernest J. Miars (Carlsbad)
Steven T. Miller (Westlake Village/Sherman Oaks)
Thomas W. Naylor (San Diego)
Richard J. Shanks (San Diego)
Gary F. Thomas (Redwood City)
Ralph C. Williams (Lancaster)
Frederick M. Woolley (Redlands)
Permanent Relinquishments
Michael A. Bowers (Escondido)
Phillip Kohlmeyer (Pleasant Hill)

COLORADO
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)
Jeffrey D. Ogle (Littleton)
Norman P. Rounds (Boulder)
Michael L. Seat (Broomfield)
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)
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)

Letters of Admonition
Mark A. Cose (Glenwood Springs)
Jason G. Hovde (Castle Rock)
Jim Newcomb (Fort Collins)
Martin T. Streetman (Castle Rock)
Patricia W. Wier (Boulder)

CONNECTICUT
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)
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)
Edwin A. Toth (Cheshire)

DELAWARE
Revocation
William R. Barto (Hockessin)

FLORIDA
Administrative Revocations
Marc H. Baldinger (Stuart)

Joseph M. Browne (Jacksonville Beach)
Jamie D. Pope (Winter Park)
Ronald W. Vaught (Melbourne)
Revocations
Carol M. Allen (Deland)
Diane L. Barriga (Parkland)
Kenneth W. Brown (Ocean Ridge/Boca Raton)
Scott Browning (Tampa)
Richard N. Davis (Tampa)
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)
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)
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)
Henry T. Goode (Melbourne)
Michael Hanke (Lutz)
Larry C. Hill (Boca Raton)
Scott D. Krause (Windemere)
Robert D. Lovett (Coral Springs)
Andrew W. MacGill (Tampa)
Bernard E. Ribordy (Seminole)
T. “Jerry” Royer (Altamonte Springs)
Riad Shanawany (Tamarac)
Jason E. Stephens (Naples)
Lewis N. Waltzer (Sanibel)
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)
Jamie D. Pope (Winter Park)
Neal S. Smalbach (Palm Harbor)
Ronald W. Vaught (Melbourne)
William G. Whitcomb (Fort Myers)
Letters of Admonition
James A. Barry, Jr. (Highland Beach)
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)
Robert R. Liggero (Atlantic Beach)
Mark A. Lurz (Bradenton)
Matthew E. Marone (St. Petersburg)
Thomas W. Markowsky (Orlando)
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)

GEORGIA
Administrative Revocations

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)
William R. Wills, III (Douglas)
Suspensions
Randy R. Brunson (Duluth)
Austin C. Cogswell (Atlanta)
Linda King (Atlanta)
Joseph R. Rollins (Atlanta)
Abigail M. Whittle (Roswell)
Letters of Admonition
Lisa R. Boone (Atlanta)
Darold C. Brooks (Marietta)
Wesley C. Brumfield (Alpharetta)
John T. Carter (Macon)
Mark E. Davis (St. Simons Island)
Stephen K. Simpson (Macon)

GERMANY
Letter of Admonition
Barry E. Swanson (Heidelberg)

HAWAII
Revocations
Jon C. Stanley (Honolulu)
Charles K.H. Wong (Aiea)
Letters of Admonition
Edward T. Coda (Honolulu)
J. Michael Vaughn (Lahaina)

IDAHO
Revocation
Larry K. Stoker (Boise)
James Charles Stone (Post Falls)

Suspension
Daniel W. Pinkerton (Coeur d’Alene)

ILLINOIS
Revocations
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)
Kenneth Puckett (Palatine)
Michael J. Tomasino (Hoffman Estates)
James A. Tures (Rockford)
Algird M. Norkus (Oak Brook)
Suspensions
Abisoye I. Adekoya (Chicago)
James M. Chen (Bloomingdale)
Robert W. Esch (Alhambra)
Steven Gutow (Des Plains/Rosemont)
Thomas J. Hallman (Frankfort/Orland Park)
Joel Robert Heffington (Hinsdale)
William F. Kovacic (Palos Heights)
Lynda C. Paul (Gurnee)
David W. Schlossberg (East Dundee)
Jeffrey D. Stein (Aurora)
Robert D. Tomlinson (Arlington Heights)
Interim Suspension
William F. Kovacic (Palos Heights)
Algrid M. Norkus (Oak Brook)

Letters of Admonition
Sue Ann Appleby (Belvidere)
George E. Arocha (Bourbannais)
Phillip C. Coad (Mount Prospect)
Richard Konst (Chicago)
John O. Miller (Lemont)
Timothy J. Stearns (Arlington Heights)
Norris E. Williamson (Darien)
Permanent Relinquishment
John M. Carlson (Bloomingdale)

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

IOWA
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)

KANSAS
Revocation
Larry Lee Crawford (North Newton)
John M. Kittle (Wichita)
Suspension
Ronald W. Reeves (Wichita)
Letter of Admonition
Shawn M. Wyatt (Hutchinson)

KENTUCKY
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)
Letter of Admonition
Brian A. Guilliom (Louisville)
Garrett Lee Headley (Lexington)

LOUISIANA
Revocation
John P. Miller (Baton Rouge)

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

Letter of Admonition
R. Kenneth Lindell (Bangor)

MARYLAND
Revocations
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)
Letters of Admonition
Gregory K. Bowser (Abingdon)
Christopher T. Holcomb (Severn)
William I. Kissinger (Cockeysville)
James R. Klima (Columbia)

MASSACHUSETTS
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
David P. Gerstenblatt (Newton)
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)
Letters of Admonition
Dawna Berube (Methuen)
Richard A. Connell (Hingham)

MICHIGAN
Revocations
Mark J. Carpenter (Ann Arbor)
James Currier (Bloomfield Hills)
Michael T. Fant (Plymouth)
Paul C. French, Jr. (Bangor)
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)
William L. Davis (Troy)
Rex D. Foster (East Lansing)
Paul C. French, Jr. (Bangor)
Kenneth M. Harb (Livonia/West Bloomfield)
Steve D. Parrett (Escanaba)
Thomas G. Pilch (Northville)
Christopher T. Reid (Rochester Hills)
Dominic J. Sacca (Bloomfield Hills)
Donald J. VanderWeele (Manistee)
Interim Suspension
Mark J. Carpenter (Ann Arbor)

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

MINNESOTA
Administrative Revocations
F. Christopher Piatt (Bloomington)
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)
Kevin M. Nevin (St. Louis Park)
Christopher A. Root (Edina)
Robert Smrekar (Minneapolis)
Lance J. Ziesemer (Waconia)
Interim Suspensions
F. Christopher Piatt (Bloomington)
Barbara J. Stark (Eden Prairie)
Letter of Admonition
Greg M. Ferguson (Edina)
Kelly F. Guncheon (Minnetonka)
Michael P. Kaselnak (Rochester)

MISSISSIPPI
Revocations
C. Douglas Gulley, Jr. (Pascagoula)
John H. Romfh (Jackson)
Suspensions
C. Douglas Gulley, Jr (Ocean Springs)
Kenneth M. Harb (Livonia/West Bloomfield)

MISSOURI
Administrative Revocation
James W. Smith (Creve Coeur)
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
Lowell A. Roth (O’Fallon)
Douglas A. Siebert (St. Louis)
D. Robin Walker (Verona)
Letter of Admonition
Dennis A. Haubert, Jr. (Columbia)
Christopher J. Jacob (St. Louis)

MONTANA
Revocations
Mark Bachik (Victor)
Randall G. Knowles (Great Falls)
Suspension
Michael W. Keffler (Lolo)
Thomas E. Schaap (Omaha)

NEBRASKA
Revocation
David J. Huber (Omaha)
Thomas E. Schaap (Omaha)

Letter of Admonition
Ken J. Koubsky (Omaha)

NEVADA
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)

Suspension
Michael D. Bayliss (Carson City)
Doyle H. Brown (Reno)
Jacqueline H. Thornhill (Las Vegas)
Letters of Admonition
Deborah D. Carter (Las Vegas)
Daniel H. Hughes (Las Vegas)

NEW HAMPSHIRE
Revocation
David L. Williams (Manchester)
Suspension
George W. Perkins II (Nashua)
Letter of Admonition
Steven F. St. Pierre (Manchester

NEW JERSEY
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)
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)
Suspensions
Robert S. Allen (Secaucus)
Robert S. Ambrozy (Cranford)
Jared S. Friedman (Scotch Plains)
Dennis Lerner (Edgewater)
Erik Mosholt (Middletown)
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)

NEW YORK
Revocations
Rita Baskin (Long Beach)
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)
William F. Keats (North Merrick)
Steven D. Klein (Lynbrook)
Bryan S. Kogut (Williamsville)
Thomas W. Laundrie (Garden City)
Alan A. Miosi (Buffalo)
Edward A. Mordini (Garden City)
Richard J. Pisani (Vestal)
Edward D. Puttick (Setauket)
Mark William Rager (Geneva)
John A. Reilly (New York)
Brooke Stephens (Brooklyn)
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)
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)
William J. Lucadamo (Bayside)
Robert A. Magliulo (Manhasset)
Raymond Martin (Saratoga Springs)
Scott E. McVicker (Pittsford)
Ronald S. Reale (Jericho)
James J. Reilly (Mamroneck)
Kenneth L. Sojka (New Rochelle)
Stephen F. Tripodi (Williamsville)
Lewis N. Waltzer (Newburgh)
Interim Suspensions
Morris Armstrong (Yorktown Heights)
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)
John P. Hannan (Skaneateles)
Harry W. Linindoll III (East Greenbush)
Bryan Mackey (Buffalo)
Michael D. Mathias (Mt. Kisco)
Brian Taggart (Saint James)
Arthur W. Tuttle (Nanuet)
Delay of CFP^® Certification
William W. Fauth (Huntington)

NORTH CAROLINA
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 W. Brophy (Winston-Salem)
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)
Letters Of Admonition
R. Brent Dees (Charlotte)
William Howard (Davidson)
Don G. Stamas (Charlotte)
Gerald T. Summerlin Jr. (Reidsville)
Robert W. Volpe (Holly Springs)

OHIO
Revocations
W.A. Douglas Campbell (Columbus)
Timothy O. Cornell (Dayton)
Mark A. Cyphers (Worthington)
Darrel E. DeMarco (Tallmadge)
Thomas J. DeMarco (Chesterland)
Stephen G. Donahue (Cincinnati)
Roger C. Faubel (Youngstown)
Harry E. Fleischhauer (Cincinnati)
Sandra K. Haines (Lewis Center)
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
Jeffrey G. Best (Westerville)
Michael C. Brady (Falls)
Dennis L. Burgess (Covington)
Matthew Michael Casey (Toledo)
Gino N. Chiappetta (Millbury)
Ronald J. Gogul (Cleveland)
Howard A. Slater (Solon)
Interim Suspensions
Timothy W. Hyde (Canton)
Julie M. Jarvis (Upper Arlington)
Carolyn C. Kaufman (Hudson)
Patrick J. Sullivan (Loveland)
Letters of Admonition
William R. Henzey (Olmstead Falls)
Kevin K. Kroskey (North Royalton)
Paul T. McCormack (Beachwood)
Robert E. Messinger (Cincinnati)

OKLAHOMA
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)

OREGON
Revocations
Ronald J. Bales (The Dalles)
Timothy T. Bean (Portland)
David W. Gwynn (Eugene)
Thomas. D. Kienlen (Springfield)
Jo Rae Perkins (Albany)
Letters Of Admonition
Jeffrey O. Briggs (Bend)
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)

PENNSYLVANIA
Revocations
Robert J. Bretschneider (Washington Crossing)
Howard S. Coff (Holland)
Richard O. Dorman, Jr. (Pittsburgh)
R. Glen Eichman (Bethlehem)
Adam D. Grodin (Pittsburgh)
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)
Anthony Diaz (Scotrun)
David V. Erickson (Chambersburg)
Matthew R. Hilbert (Jenkintown)
James P. O’Mara (York)
Daniel W. Rooney (Philadelphia)
Gary J. Siano (Downingtown)
Interim Suspension
Gordon D. Smith (Johnstown)
Letters Of Admonition
Jay M. Desai (York)
Deborah S. Giffin (McMurray)
Timothy Higgins (Harrisburg)
Thomas C. Hock (Schnecksville)
Phillip J.W. Miles (Harrisburg)
William T. Neely (Grove City)
David L. Rothman (Trevose)
Theodore G. Rothman (Trevose)
RHODE ISLAND
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
Revocations
Ronald Jefferson Davis (Mt. Pleasant)
John P. Menzo (Prosperity)
Oren E. Sullivan (Rock Hill)
Suspensions
Wayne Cassaday (Mount Pleasant)
Brett Fellows (Mt. Pleasant)
Interim Suspension
Ronald Jefferson Davis (Mount Pleasant)
Letters of Admonition
Christopher E. Cabri (Charleston)
Emmet Martin (Greenville)

SOUTH DAKOTA
Letter Of Admonition
Robert P. Steib (Sioux Falls)

TENNESSEE
Revocations
William C. Allen (Memphis)
Larry W. Cherry (Brentwood)
Gala Gorman (Brentwood)
Martha J. C. Hawk (Bloutville)
Lyman O. Heidtke (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)
Catherine M. Nolen (Nashville)
Catherine V. Quinn (Nashville)
Brian D. Schrauger (Brentwood)
Interim Suspension
Martha J.C. Hawk (Blountville)
Letter of Admonition
Russell Darin Hurley (Chattanooga)

TEXAS
Administrative Revocation
Marcus C. Rodriguez (Houston)
Revocations
Nicole Y. Allen (Dallas)
Charles I. Alvarez (Houston)
Jeffrey W. Baum (Lubbock)
Farrish E. Betton (Houston)
Texas Craig R. Brockman (Plano)
Robert Carpenter (Wylie)
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)
Douglas J. Hellie (San Antonio)
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)
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)
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)
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)
Jeremy B. Stauss (Fort Worth)
John Howard Towers (Plano)
Roger D. Stevenson (San Benito)
Interim Suspension
Brian P. Troy (Keller)
Letters of Admonition
Douglas Wayne Blankenship (Addison)
Donald H. Christie (Waco)
Gerald S. Cohn (San Antonio)
Kerwyn N. Escayg (Webster)
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)
Linnie Logan Phebus (Austin)
Keith D. Powell (Austin)
Lee A. Przybyla (San Antonio)
David L. Rhodes (Bryan)
Brian W. Sak (Magnolia)
Sean C. Thomas (Grapevine)
George M. Warner (Rockwall)

UTAH
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)

VERMONT
Revocation
George A. Rotelli (South Burlington)
Suspensions
Carol A. Geske (South Burlington)
Robert J. Hudson (Essex Junction)

VIRGINIA
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)
Michael Allen Whelcel (McLean)
Auldis E. Wright (Richmond)
Suspensions
Jeffrey S. Geraci (Virginia Beach)
John W. McMahon (Fairfax)
Ivan H. Riley (Vienna)
Interim Suspension
John R. Graves (Fredericksburg)
Letters of Admonition
Michael P. Duprey (Alexandria)
Jacqueline Hanson (Leesburg)
Rick R. Looker (Virginia Beach)
Jacqueline Hanson (Waterford)
Glenn C. Moore (Manassas)
Roxanne K. Villarreal (Reston)
Robert Yeh

WASHINGTON
Revocations
Richard N. Davis (Spokane)
N. Gordon Frandsen (Seattle)
Gary V. Ingram (Redmond)
Graham L. Mac Donald (Bellingham)
Lloyd D. Pankey (Spokane)
M. Greg Sweeney (Spokane)
Suspensions
Randall T. Becker (Bellevue)
David A. Duryee (Seattle)
Ingrid M. Gintz (Reston)
Candy J. Lee (Seattle)
Letter of Admonition
Kevin R. Bonner (Burien)

WISCONSIN
Administrative Revocations
William F. Kramer (Waukesha)
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)
Jeffrey L. Elverman (Genoa City)
Thomas Hodgkiss (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)
Howard H. Schneider (Kewaskum/West Bend)
Craig M. Siminski (Green Bay)
Christina V. Winch (Appleton)

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